SMITH MOORE & CO.

Latest filing: Mar 29, 2024 (215 days ago)

AUM

$1,705,976,563
18% change vs. 1 year ago
34% change vs. 3 years ago
78% change vs. 5 years ago
296% change vs. 10 years ago

Employee Count

65
18% change vs. 1 year ago
76% change vs. 3 years ago
38% change vs. 5 years ago
35% change vs. 10 years ago

Main Office

CLAYTON, MS
7777 BONHOMME AVENUE, CLAYTON, MS, UNITED STATES, 63105

Client AUM

Discretion AUM
Discretionary $1.6
Non-Discretionary $0.1
Total $1.7
Client AUM
Retail $1.5
Pooled $0.0
Institutional $0.2
Total $1.7
Retail Accounts AUM
Individual 3,152 $0.7
Average Individual AUM $220,158
HNW 318 $0.9
Average HNW AUM $2,680,853
Retail Total 3,470 $1.5
Average Retail AUM $445,663

ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV

SMA Custodians

Custodian Location AUM

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown AUM
Total SMA AUM $1.7
Retail SMA AUM $1.5
Institutional SMA AUM $0.2
Asset Class % AUM
Equity Exch 0% $0.0
Equity Non-Exch 0% $0.0
Govt Agency 0% $0.0
Municipal 0% $0.0
Sovereign 0% $0.0
IG Credit 0% $0.0
HY Credit 0% $0.0
Derivatives 0% $0.0
Investment Companies 0% $0.0
Other Pools 0% $0.0
Cash 0% $0.0
Other 0% $0.0
Total 0% $0.0

ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV

Affiliates

Affiliates AUM Business Types CRD Number
SMITH MOORE & CO. $1.7 broker-dealer 3441

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

10 active

Name Title
SCHULTE, TIMOTHY EUGENE CHAIRMAN OF THE BOARD, DIRECTOR
DEUTSCH, STEWART JAMES JR PRESIDENT, CHIEF EXECTIVE OFFICER, DIRECTOR
IWERSEN-NIEMANN, JULIANNE CATHERINE VICE PRESIDENT
SCHMIDT, KENT CHARLES EXECUTIVE VICE PRESIDENT, DIRECTOR
RHYNER, RANDALL PAUL EXECUTIVE VICE PRESIDENT, DIRECTOR
TOGNOZZI, AMY LYNN CHIEF FINANCIAL OFFICER, FINOP
PERRYMAN, JARET DALIN CHIEF COMPLIANCE OFFICER
HAKE, CHRISTINA SUE SECRETARY, DIRECTOR
KRAFT, BARBARA ANN CHIEF OPERATING OFFICER
BRAGG, MATTHEW EDWARD EXECUTIVE VICE PRESIDENT, DIRECTOR

ADVDB.CO • SOURCE: SEC

Representatives

48 active representatives found, showing 20 random

Name City State Exams Designations
RANDALL RHYNER CLAYTON MO S63|1999-10-15|S65|1999-11-08
DANNY MOORE CLAYTON MO S66|2007-06-22
MARK NIEBRUGGE CLAYTON MO S63|2017-09-12|S66|2022-07-15
HOPE GERDES CLAYTON MO S66|2014-07-19 CERTIFIED FINANCIAL PLANNER
KENT SCHMIDT CLAYTON MO S63|1995-06-20 CERTIFIED FINANCIAL PLANNER
ALEX LECURE CLAYTON MO S65|2013-01-18|S63|2021-06-30
MATTHEW BRAGG CLAYTON MO S63|1992-10-12 CERTIFIED FINANCIAL PLANNER
DOUGLAS SCHULTZ CLAYTON MO S63|1996-02-01|S66|2002-05-24
AMY BRODY CLAYTON MO S66|2017-03-11
JULIANNE IWERSEN-NIEMANN CLAYTON MO S63|1988-08-09
THADDAEUS ALLEN CLAYTON MO S66|2009-04-24
TROY VAN RIE CLAYTON MO S63|1992-07-09|S65|2006-03-31
MYLAN ANDERSON CLAYTON MO S66|2008-10-14
THOMAS LEE CLAYTON MO S63|1995-11-24|S65|1999-06-16
CHRISTINA HAKE CLAYTON MO S63|2001-03-09|S65|2001-03-17
STEWART DEUTSCH CLAYTON MO S63|1994-09-19|S65|2000-04-01 CERTIFIED FINANCIAL PLANNER
GREGORY BRAY CLAYTON MO S63|1996-01-12|S65|2000-04-03
KEVIN STORM CLAYTON MO S66|2006-05-31 CERTIFIED FINANCIAL PLANNER
DONNA ZOELLER CLAYTON MO S63|2006-03-16|S65|2012-06-09
DAVID PRICE CLAYTON MO S63|1989-09-25|S66|2002-06-14

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2024-10-01 $1.7 $0.0 0% 65 0 0%
2024-04-02 $1.7 $0.0 0% 65 0 0%
2023-04-04 $1.5 $0.3 18% 55 10 18%
2022-04-01 $1.6 $0.1 9% 50 15 30%
2021-04-05 $1.3 $0.4 34% 37 28 76%
2020-04-01 $1.1 $0.6 62% 43 22 51%
2019-04-01 $1.0 $0.7 78% 47 18 38%
2018-04-02 $1.0 $0.7 78% 47 18 38%
2017-04-01 $0.7 $1.0 128% 54 11 20%
2016-04-01 $0.6 $1.1 179% 54 11 20%
2015-04-01 $0.5 $1.2 238% 52 13 25%
2014-04-01 $0.4 $1.3 296% 48 17 35%
2013-04-01 $0.3 $1.4 506% 45 20 44%

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS
MS-10/28/2019
ADVISER ACTIVITIES
FINANCIAL PLANNING
PORTFOLIO MANAGEMENT
MANAGER SELECTION
OTHER ACTIVITIES
BROKER DEALER
INSURANCE AGENT

ADVDB.CO • SOURCE: SEC FORM ADV