AdvisorCensus / Financial advisors / Colorado / Denver / Smith Capital Investors, LLC
Smith Capital Investors, LLC is an SEC-registered investment advisory firm in Denver, CO, registered since 2018, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated February 27, 2026.
Quick answers
From the filingHow is Smith Capital Investors, LLC compensated?
On its Form ADV (Item 5.E, October 2026), Smith Capital Investors, LLC reports these compensation arrangements: a percentage of assets under its management.
Where is Smith Capital Investors, LLC located?
Smith Capital Investors, LLC's principal office is in Denver, CO, according to its Form ADV; the March 2026 filing also lists 1 other office (Schedule D, Section 1.F).
Is Smith Capital Investors, LLC registered with the SEC or a state?
Smith Capital Investors, LLC is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 294402.
How much does Smith Capital Investors, LLC manage?
Smith Capital Investors, LLC reports $13,111,663,806 in regulatory assets under management in its Form ADV filing dated February 27, 2026 (100% discretionary).
How have Smith Capital Investors, LLC's assets and staff changed since 2021?
In the Form ADV data for Smith Capital Investors, LLC: Regulatory assets under management: $1,817,755,921 in the October 2021 data and $13,111,663,806 in the October 2026 data, up 621%. Total employees: 15 in October 2021 and 30 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Smith Capital Investors, LLC serve?
By number of clients on Form ADV Item 5.D: investment companies (6).
Does Smith Capital Investors, LLC report any disciplinary disclosures?
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/294402
What changed in Smith Capital Investors, LLC's recent Form ADV filings?
In the March 2026 filing data: Employees performing advisory functions went from 12 to 17.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Regulatory assets under management
Item 5.F$13,111,663,806 as of October 2026, filing dated February 27, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for investment companies (and business development companies)
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2018 (8 years)
- Employees
- Total: 30. Performing investment advisory functions: 17.
- Wrap fee program participation
- No.
- Other offices (Schedule D, Section 1.F)
-
1 other office, as of the March 2026 filing
- States registered or notice-filed
-
1 state or jurisdiction
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $13,111,663,806 | 30 | February 27, 2026 |
| October 2025 | $12,449,307,906 | 27 | May 12, 2025 |
| October 2024 | $3,715,424,606 | 17 | June 27, 2024 |
| October 2023 | $2,806,397,301 | 16 | March 7, 2023 |
| October 2022 | $2,696,402,691 | 16 | March 3, 2022 |
| October 2021 | $1,817,755,921 | 15 | April 26, 2021 |
Regulatory assets under management: $1,817,755,921 in the October 2021 data and $13,111,663,806 in the October 2026 data, up 621%.
Total employees: 15 in October 2021 and 30 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- March 2026
- Employees performing advisory functions went from 12 to 17.
- January 2026
- Added an office in Denver, CO.
- Updated its list of owners and control persons (Schedule A).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Smith Capital Investors, LLC (CRD 294402): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/smith-capital-investors-llc-denver-co-294402