Smith Moore & Co. (Clayton)

Name: Smith Moore & Co.
Address: 7777 Bonhomme Avenue, Clayton, MO, 63105
Telephone: 314-727-5225

Smith Moore & Co. is a large advisory firm based in Clayton. It manages $863.36 million of regulatory assets for 3,000 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Florida, Illinois, Kansas, and Missouri.

Smith Moore & provides financial planning services, portfolio management for individuals and small businesses, and selection of other advisers. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

Smith Moore &: assets under management

The assets under management (AUM) of Smith Moore & Co. is $863.36 million. The firm's AUM has grown by 3306% since the beginning of its operation, and $5.91 million of the total AUM is attributable to clients outside of the United States.

The firm manages $784.48 million in discretionary accounts and $78.88 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $290.55 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $262.94 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 52% of the total AUM. The second-largest asset type is investment and business development companies, which make up 39% of the firm’s portfolio. Investments in cash and cash equivalents form 7% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Smith Moore & Co. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Smith Moore & serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Smith Moore & is individuals with 2,951 clients and $699.12 million of assets under management. Among the 10 most similar advisory firms, Smith Moore & has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $863.36 million for 3,000 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Smith Moore & doesn't advise any private funds.

Careers at Smith Moore & Co.

The company employs 43 people that are either part- or full-time employees. 72 percent of the employees work as investment advisers or researchers. 31 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Philip Henry Plack	Executive vp & director	1 Jun 1996	Other	364341
Robert Philip Plack	Senior vp & director	1 Mar 1999	Other	1727059
Timothy Eugene Schulte	Srop, crop, senior vp	1 Mar 1999	Other	1869986
Stewart James Jr Deutsch	President, chief exective officer, director	1 Jan 2003	Other	2537447
Harry Hill Langenberg	Senior vp, director, chairman	1 Jan 2003	25% - 50%	827594
Thomas Anthony Jr Gonsalves	Chief operating officer, secretary, chief compliance officer	1 Jan 2003	Other	1012449
Donna Elizabeth Frederick	Vice president	1 Feb 2004	Other	2536742
Donna Lea Hufendick	Finop	1 Apr 2004	Other	2806882
Donna Lea Stogsdill	Finop	1 Apr 2004	Other	2806882
Malcolm Bradlee Jr Epstein	Branch manager	1 Feb 2005	Other	201719
Timothy Eugene Schulte	Chairman of the board, director	1 Jan 2010	Other	1869986
Donna Elizabeth Frederick	Chief operating officer, director	1 Jan 2010	Other	2536742
Thomas Anthony Jr Gonsalves	Secretary, director	1 Aug 2010	Other	1012449
Julianne Catherine Iwersen Niemann	Vice president	1 Nov 2010	Other	861067
Gregory Warren Golden	Vice president	1 Mar 2011	Other	4716765
Harry Hill Langenberg	Senior vp	1 May 2011	Other	827594
Linda W Sullivan	Chief compliance officer	1 May 2011	Other	4008534
Kent Charles Schmidt	Executive vice president, director	1 May 2011	Other	2153325
Erin Elaine Baskett	Chief financial officer	1 May 2011	Other	4538604
Randall Paul Rhyner	Executive vice president, director	1 Jan 2015	Other	2443274
Amy Lynn Tognozzi	Chief financial officer, finop	1 Mar 2017	Other	6486826

Based in Clayton

The principal office where Smith Moore & Co. performs its advisory services is located at 7777 Bonhomme Avenue, Clayton, MO 63105, which is also the mailing address of the firm. An additional office of the firm is in Chesterfield, MO. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 314-727-5225 or by fax 314-436-9986. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at smithmoore.com.