# Smith Moore & Co.

> 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.

- CRD: 3441
- Filed as: SMITH MOORE & CO.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Clayton, MO
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/3441
- AdvisorCensus page: https://advisorcensus.com/firm/smith-moore-and-co-clayton-mo-3441

## Quick answers

**How is Smith Moore & Co. compensated?**
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).

**Where is Smith Moore & Co. located?**
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).

**Is Smith Moore & Co. registered with the SEC or a state?**
Smith Moore & Co. is an SEC-registered investment advisory firm, registered since 2007. Status as filed: Approved. CRD 3441.

**How much does Smith Moore & Co. manage?**
Smith Moore & Co. reports $2,371,739,897 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (89% discretionary).

**How have Smith Moore & Co.'s assets and staff changed since 2021?**
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.

**What types of clients does Smith Moore & Co. serve?**
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).

**Does Smith Moore & Co. report any disciplinary disclosures?**
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

**Does Smith Moore & Co. state an account minimum?**
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."

**What changed in Smith Moore & Co.'s recent Form ADV filings?**
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.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 31, 2026)

- Account minimum: None

> We generally do not require that you have a minimum investment amount to establish an advisory relationship with us.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Regulatory assets under management (Item 5.F)
- Total: $2,371,739,897
- Discretionary: $2,105,328,880
- Non-discretionary: $266,411,017

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 2,841 | $688,793,027 |
| High net worth individuals | 1,254 | $1,484,219,327 |
| Banking or thrift institutions | 0 | Not reported |
| Investment companies | 0 | Not reported |
| Business development companies | 0 | Not reported |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | Not reported |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 18 | $8,198,910 |
| Charitable organizations | 10 | $6,413,909 |
| State or municipal government entities (including government pension plans) | 3 | $66,818,780 |
| Other investment advisers | 0 | Not reported |
| Insurance companies | 0 | Not reported |
| Sovereign wealth funds and foreign official institutions | 0 | Not reported |
| Corporations or other businesses not listed above | 16 | $117,295,944 |
| Other | 0 | Not reported |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2007 (19 years)
- Employees: 65 total, 50 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: 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
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.E(4): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/3441

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Brandon, MS
- Chesterfield, MO
- Columbia, MO
- Effingham, IL
- Fulton, MO
- Jefferson City, MO
- Kirksville, MO
- Moberly, MO
- Overland Park, KS

### Websites listed on Form ADV (Item 1.I)
- smithmoore.com
- LinkedIn @SMITH-MOORE-&-COMPANY

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $1,274,922,853 | 37 | March 31, 2021 |
| October 2022 | $1,568,770,783 | 50 | April 7, 2022 |
| October 2023 | $1,451,104,109 | 55 | March 31, 2023 |
| October 2024 | $1,705,976,563 | 65 | March 29, 2024 |
| October 2025 | $2,008,286,156 | 65 | March 31, 2025 |
| October 2026 | $2,371,739,897 | 65 | March 31, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- 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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Smith Moore & Co. (CRD 3441): Form ADV filing data as of October 2026.