{
  "crd_number": 3441,
  "slug": "smith-moore-and-co-clayton-mo-3441",
  "primary_business_name": "SMITH MOORE & CO.",
  "legal_name": "SMITH MOORE & CO.",
  "dbas": [],
  "city": "Clayton",
  "state": "MO",
  "country": "United States",
  "cbsa_code": "41180",
  "metro": {
    "cbsa_code": "41180",
    "common_name": "St. Louis",
    "msa_name": "St. Louis, MO-IL",
    "path": "/advisors/mo/st-louis"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2007-08-08",
  "years_registered": 19,
  "period": "2026-10-01",
  "filing_date": "2026-03-31",
  "carried_forward": false,
  "raum_total": 2371739897.0,
  "raum_discretionary": 2105328880.0,
  "raum_non_discretionary": 266411017.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 65,
  "advisory_employees": 50,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": null,
      "count": 0
    },
    "charitable": {
      "raum": 6413909.0,
      "count": 10
    },
    "individuals": {
      "raum": 688793027.0,
      "count": 2841
    },
    "banking_thrift": {
      "raum": null,
      "count": 0
    },
    "state_municipal": {
      "raum": 66818780.0,
      "count": 3
    },
    "insurance_companies": {
      "raum": null,
      "count": 0
    },
    "investment_companies": {
      "raum": null,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 8198910.0,
      "count": 18
    },
    "other_investment_advisers": {
      "raum": null,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 1484219327.0,
      "count": 1254
    },
    "pooled_investment_vehicles": {
      "raum": null,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 117295944.0,
      "count": 16
    },
    "business_development_companies": {
      "raum": null,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": null,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 1,
  "states_registered": [
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "FL",
    "GA",
    "IA",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "MI",
    "MN",
    "MO",
    "MS",
    "NC",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "PA",
    "SC",
    "TN",
    "TX",
    "UT",
    "VA",
    "WA",
    "WI"
  ],
  "websites": [
    "https://linkedin.com/COMPANY/SMITH-MOORE-&-COMPANY",
    "https://smithmoore.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/3441",
  "disclosure_items": [
    {
      "item": "11.E(4)",
      "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?"
    }
  ],
  "city_as_filed": "CLAYTON",
  "url": "https://advisorcensus.com/firm/smith-moore-and-co-clayton-mo-3441",
  "display_name": "Smith Moore & Co.",
  "summary": "Smith Moore & Co. is an SEC-registered investment advisory firm in Clayton, MO, registered since 2007, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 31, 2026.",
  "citation": "AdvisorCensus. Smith Moore & Co. (CRD 3441): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Smith Moore & Co. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Smith Moore & Co. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "Where is Smith Moore & Co. located?",
      "a": "Smith Moore & Co.'s principal office is in Clayton, MO, according to its Form ADV; the April 2026 filing also lists 9 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Smith Moore & Co. registered with the SEC or a state?",
      "a": "Smith Moore & Co. is an SEC-registered investment advisory firm, registered since 2007. Status as filed: Approved. CRD 3441."
    },
    {
      "q": "How much does Smith Moore & Co. manage?",
      "a": "Smith Moore & Co. reports $2,371,739,897 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (89% discretionary)."
    },
    {
      "q": "How have Smith Moore & Co.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Smith Moore & Co.: Regulatory assets under management: $1,274,922,853 in the October 2021 data and $2,371,739,897 in the October 2026 data, up 86%. Total employees: 37 in October 2021 and 65 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Smith Moore & Co. serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (2,841); high net worth individuals (1,254); pension and profit sharing plans (but not the plan participants or government pension plans) (18)."
    },
    {
      "q": "Does Smith Moore & Co. report any disciplinary disclosures?",
      "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/3441"
    },
    {
      "q": "Does Smith Moore & Co. state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 31, 2026 says: \"We generally do not require that you have a minimum investment amount to establish an advisory relationship with us.\""
    },
    {
      "q": "What changed in Smith Moore & Co.'s recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $2,008,286,156 to $2,371,739,897 (+18%). Changed its office addresses in Columbia, MO. No longer lists an office in Topeka, KS."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 1274922853.0,
      "total_employees": 37,
      "filing_date": "2021-03-31"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 1568770783.0,
      "total_employees": 50,
      "filing_date": "2022-04-07"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 1451104109.0,
      "total_employees": 55,
      "filing_date": "2023-03-31"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 1705976563.0,
      "total_employees": 65,
      "filing_date": "2024-03-29"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 2008286156.0,
      "total_employees": 65,
      "filing_date": "2025-03-31"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 2371739897.0,
      "total_employees": 65,
      "filing_date": "2026-03-31"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $2,008,286,156 to $2,371,739,897 (+18%).",
        "Changed its office addresses in Columbia, MO.",
        "No longer lists an office in Topeka, KS."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 31, 2026",
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "None",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: None"
        ],
        "quotes": [
          "We generally do not require that you have a minimum investment amount to establish an advisory relationship with us."
        ]
      }
    ],
    "quotes": [
      "We generally do not require that you have a minimum investment amount to establish an advisory relationship with us."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/smith-moore-and-co-clayton-mo-3441.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 2841,
      "fewer_than_5": false,
      "raum": 688793027.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 1254,
      "fewer_than_5": false,
      "raum": 1484219327.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 18,
      "fewer_than_5": false,
      "raum": 8198910.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 10,
      "fewer_than_5": false,
      "raum": 6413909.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 3,
      "fewer_than_5": false,
      "raum": 66818780.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 16,
      "fewer_than_5": false,
      "raum": 117295944.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    }
  ],
  "disclosure_line": "Reports 1 disclosure item on Form ADV Item 11.",
  "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/3441",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}