{ "crd_number": 162082, "slug": "philosmith-capital-corporation-stamford-ct-162082", "primary_business_name": "PHILOSMITH CAPITAL CORPORATION", "legal_name": "PHILOSMITH CAPITAL CORPORATION", "dbas": [], "city": "Stamford", "state": "CT", "country": "United States", "cbsa_code": "14860", "metro": { "cbsa_code": "14860", "common_name": "Bridgeport", "msa_name": "Bridgeport-Stamford-Danbury, CT", "path": "/advisors/ct/bridgeport" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2012-04-24", "years_registered": 14, "period": "2026-10-01", "filing_date": "2026-03-26", "carried_forward": false, "raum_total": 380477979.0, "raum_discretionary": 380477979.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 9, "advisory_employees": 6, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "insurance_companies": { "raum": 341267872.0, "count": 2, "fewer_than_5": true }, "pooled_investment_vehicles": { "raum": 39210107.0, "count": 1 } }, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_individuals", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CT" ], "websites": [ "https://philosmith.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/162082", "city_as_filed": "STAMFORD", "url": "https://advisorcensus.com/firm/philosmith-capital-corporation-stamford-ct-162082", "display_name": "Philosmith Capital Corporation", "summary": "Philosmith Capital Corporation is an SEC-registered investment advisory firm in Stamford, CT, registered since 2012, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 26, 2026.", "citation": "AdvisorCensus. Philosmith Capital Corporation (CRD 162082): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Performance-based fees" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Philosmith Capital Corporation compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Philosmith Capital Corporation reports these compensation arrangements: a percentage of assets under its management; performance-based fees." }, { "q": "Where is Philosmith Capital Corporation located?", "a": "Philosmith Capital Corporation's principal office is in Stamford, CT, according to its Form ADV." }, { "q": "Is Philosmith Capital Corporation registered with the SEC or a state?", "a": "Philosmith Capital Corporation is an SEC-registered investment advisory firm, registered since 2012. Status as filed: Approved. CRD 162082." }, { "q": "How much does Philosmith Capital Corporation manage?", "a": "Philosmith Capital Corporation reports $380,477,979 in regulatory assets under management in its Form ADV filing dated March 26, 2026 (100% discretionary)." }, { "q": "How have Philosmith Capital Corporation's assets and staff changed since 2021?", "a": "In the Form ADV data for Philosmith Capital Corporation: Regulatory assets under management: $224,000,000 in the October 2021 data and $380,477,979 in the October 2026 data, up 70%. Total employees: 6 in October 2021 and 9 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Philosmith Capital Corporation serve?", "a": "By number of clients on Form ADV Item 5.D: insurance companies (2); pooled investment vehicles (other than investment companies and business development companies) (1)." }, { "q": "Which custodians does Philosmith Capital Corporation use?", "a": "Philosmith Capital Corporation's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Morgan Stanley and State Street Bank and Trust Company as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Philosmith Capital Corporation report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/162082" } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 224000000.0, "total_employees": 6, "filing_date": "2021-01-25" }, { "period": "2022-10-01", "regulatory_assets_under_management": 274300000.0, "total_employees": 8, "filing_date": "2022-06-30" }, { "period": "2023-10-01", "regulatory_assets_under_management": 278672643.0, "total_employees": 10, "filing_date": "2023-02-17" }, { "period": "2024-10-01", "regulatory_assets_under_management": 315886081.0, "total_employees": 10, "filing_date": "2024-01-30" }, { "period": "2025-10-01", "regulatory_assets_under_management": 365295833.0, "total_employees": 9, "filing_date": "2025-06-04" }, { "period": "2026-10-01", "regulatory_assets_under_management": 380477979.0, "total_employees": 9, "filing_date": "2026-03-26" } ], "recent_changes": [], "fees_from_brochure": null, "custodians": [ { "name": "Morgan Stanley", "name_as_filed": "MORGAN STANLEY", "affiliated": false }, { "name": "State Street Bank and Trust Company", "name_as_filed": "STATE STREET BANK AND TRUST COMPANY", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/philosmith-capital-corporation-stamford-ct-162082.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 1, "fewer_than_5": false, "raum": 39210107.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": 2, "fewer_than_5": true, "raum": 341267872.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/162082", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }