SMITH MOORE & CO.
Latest filing: Mar 31, 2025 (30 days ago)
AUM
$2,008,286,156
18% change vs. 1 year ago
28% change vs. 3 years ago
90% change vs. 5 years ago
298% change vs. 10 years ago
Employee Count
65
0% change vs. 1 year ago
30% change vs. 3 years ago
51% change vs. 5 years ago
25% change vs. 10 years ago
Main Office
CLAYTON, MS
7777 BONHOMME AVENUE, CLAYTON, MS, UNITED STATES, 63105
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $1.9 |
| Non-Discretionary | $0.1 |
| Total | $2.0 |
| Client | AUM |
|---|---|
| Retail | $1.8 |
| Pooled | $0.0 |
| Institutional | $0.2 |
| Total | $2.0 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 2,609 | $0.6 |
| Average Individual AUM | $217,874 | |
| HNW | 1,243 | $1.3 |
| Average HNW AUM | $1,018,664 | |
| Retail Total | 3,852 | $1.8 |
| Average Retail AUM | $476,280 |
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 | $2.0 |
| Retail SMA AUM | $1.8 |
| 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. | $2.0 | 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 | |||||
|---|---|---|---|---|---|---|---|---|---|
| THOMAS LEE | CLAYTON | MO | S63|1995-11-24|S65|1999-06-16 | ||||||
| JULIANNE IWERSEN-NIEMANN | CLAYTON | MO | S63|1988-08-09 | ||||||
| STEFANIE KLUBA | CLAYTON | MO | S66|2023-10-06 | ||||||
| BLAINE PESTLE | CLAYTON | MO | S66|2023-05-26 | ||||||
| CHRISTINA HAKE | CLAYTON | MO | S63|2001-03-09|S65|2001-03-17 | ||||||
| AMY BRODY | CLAYTON | MO | S66|2017-03-11 | ||||||
| MYLAN ANDERSON | CLAYTON | MO | S66|2008-10-14 | ||||||
| ROBERT PLACK | CLAYTON | MO | S63|1987-09-16|S65|2000-10-23 | ||||||
| JAMES CHURCH | CLAYTON | MO | S63|1993-12-15|S65|2014-10-24 | ||||||
| NATHAN SCHULTZ | CLAYTON | MO | S66|2024-04-30 | ||||||
| DOUGLAS SCHULTZ | CLAYTON | MO | S63|1996-02-01|S66|2002-05-24 | ||||||
| THOMAS GONSALVES | CLAYTON | MO | S63|1981-10-29|S65|2006-02-25 | ||||||
| DONNA ZOELLER | CLAYTON | MO | S63|2006-03-16|S65|2012-06-09 | ||||||
| HOPE GERDES | CLAYTON | MO | S66|2014-07-19 | CERTIFIED FINANCIAL PLANNER | |||||
| CORY DOWNER | CLAYTON | MO | S66|2022-06-10 | ||||||
| KYLE SHAW | CLAYTON | MO | S66|2013-07-30 | ||||||
| TROY VAN RIE | CLAYTON | MO | S63|1992-07-09|S65|2006-03-31 | ||||||
| WESLEY ROPER | CLAYTON | MO | S63|1998-10-14 | CERTIFIED FINANCIAL PLANNER | |||||
| DANNY MOORE | CLAYTON | MO | S66|2007-06-22 | ||||||
| HARRY HOPKINS | CLAYTON | MO | S63|1983-07-06|S66|2011-07-11 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-04-21 | $2.0 | $0.0 | 0% | 65 | 0 | 0% |
| 2024-04-02 | $1.7 | $0.3 | 18% | 65 | 0 | 0% |
| 2023-04-04 | $1.5 | $0.6 | 38% | 55 | 10 | 18% |
| 2022-04-01 | $1.6 | $0.4 | 28% | 50 | 15 | 30% |
| 2021-04-05 | $1.3 | $0.7 | 58% | 37 | 28 | 76% |
| 2020-04-01 | $1.1 | $1.0 | 90% | 43 | 22 | 51% |
| 2019-04-01 | $1.0 | $1.0 | 109% | 47 | 18 | 38% |
| 2018-04-02 | $1.0 | $1.0 | 109% | 47 | 18 | 38% |
| 2017-04-01 | $0.7 | $1.3 | 168% | 54 | 11 | 20% |
| 2016-04-01 | $0.6 | $1.4 | 228% | 54 | 11 | 20% |
| 2015-04-01 | $0.5 | $1.5 | 298% | 52 | 13 | 25% |
| 2014-04-01 | $0.4 | $1.6 | 366% | 48 | 17 | 35% |
| 2013-04-01 | $0.3 | $1.7 | 613% | 45 | 20 | 44% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| MS-03/31/2025 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT MANAGER SELECTION |
| OTHER ACTIVITIES |
|
BROKER DEALER INSURANCE AGENT |
ADVDB.CO • SOURCE: SEC FORM ADV