{ "crd_number": 294402, "slug": "smith-capital-investors-llc-denver-co-294402", "primary_business_name": "SMITH CAPITAL INVESTORS, LLC", "legal_name": "SMITH CAPITAL INVESTORS, LLC", "dbas": [], "city": "Denver", "state": "CO", "country": "United States", "cbsa_code": "19740", "metro": { "cbsa_code": "19740", "common_name": "Denver", "msa_name": "Denver-Aurora-Centennial, CO", "path": "/advisors/co/denver" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2018-05-17", "years_registered": 8, "period": "2026-10-01", "filing_date": "2026-02-27", "carried_forward": false, "raum_total": 13111663806.0, "raum_discretionary": 13111663806.0, "raum_non_discretionary": 0.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 30, "advisory_employees": 17, "client_count_bucket": null, "clients_by_type": { "investment_companies": { "raum": 13111663806.0, "count": 6 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_investment_companies" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CO" ], "websites": [ "https://linkedin.com/company/smith-capital-investors", "https://smithcapitalinvestors.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/294402", "city_as_filed": "DENVER", "url": "https://advisorcensus.com/firm/smith-capital-investors-llc-denver-co-294402", "display_name": "Smith Capital Investors, LLC", "summary": "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.", "citation": "AdvisorCensus. Smith Capital Investors, LLC (CRD 294402): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for investment companies (and business development companies)" ], "quick_answers": [ { "q": "How is Smith Capital Investors, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Smith Capital Investors, LLC reports these compensation arrangements: a percentage of assets under its management." }, { "q": "Where is Smith Capital Investors, LLC located?", "a": "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)." }, { "q": "Is Smith Capital Investors, LLC registered with the SEC or a state?", "a": "Smith Capital Investors, LLC is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 294402." }, { "q": "How much does Smith Capital Investors, LLC manage?", "a": "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)." }, { "q": "How have Smith Capital Investors, LLC's assets and staff changed since 2021?", "a": "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." }, { "q": "What types of clients does Smith Capital Investors, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: investment companies (6)." }, { "q": "Does Smith Capital Investors, LLC 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/294402" }, { "q": "What changed in Smith Capital Investors, LLC's recent Form ADV filings?", "a": "In the March 2026 filing data: Employees performing advisory functions went from 12 to 17." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 1817755921.0, "total_employees": 15, "filing_date": "2021-04-26" }, { "period": "2022-10-01", "regulatory_assets_under_management": 2696402691.0, "total_employees": 16, "filing_date": "2022-03-03" }, { "period": "2023-10-01", "regulatory_assets_under_management": 2806397301.0, "total_employees": 16, "filing_date": "2023-03-07" }, { "period": "2024-10-01", "regulatory_assets_under_management": 3715424606.0, "total_employees": 17, "filing_date": "2024-06-27" }, { "period": "2025-10-01", "regulatory_assets_under_management": 12449307906.0, "total_employees": 27, "filing_date": "2025-05-12" }, { "period": "2026-10-01", "regulatory_assets_under_management": 13111663806.0, "total_employees": 30, "filing_date": "2026-02-27" } ], "recent_changes": [ { "period": "2026-03-01", "period_label": "March 2026", "notes": [ "Employees performing advisory functions went from 12 to 17." ] }, { "period": "2026-01-01", "period_label": "January 2026", "notes": [ "Added an office in Denver, CO.", "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/smith-capital-investors-llc-denver-co-294402.md", "clients": [ { "type": "investment_companies", "label": "Investment companies", "count": 6, "fewer_than_5": false, "raum": 13111663806.0 } ], "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/294402", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }