SMITH CAPITAL INVESTORS, LLC
Adviser information for SMITH CAPITAL INVESTORS, LLC last updated from Form ADV on February 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 17 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 9 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2 | $3.7B |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $3.7B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $3.7B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-113172 |
|---|---|
| SEC ERA File Number | 801-113172 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 294402 |
| Legal Entity Identifier | 254900VFOTF94KJOP039 |
Principal Office
1430 BLAKE STREETDENVER
CO
United States
Monday - Friday, 7:00AM MT - 4:00PM MT
Tel: 303-597-5555, Fax: None
Chief Compliance Officer
ROBERTA TUCKER
INVESTOR
1430 BLAKE STREET
DENVER
CO
United States
Tel:
303-550-0076
R*************@************************M
(Full email address available in API data)
Regulatory Contact
RICHARD GIBSON SMITH
MANAGING MEMBER
1430 BLAKE STREET
DENVER
CO
United States
Tel:
303-597-5555
G***********@************************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SMITH, RICHARD, GIBSON | Individual | – | MANAGING MEMBER | 11/2017 | > 75% |
| TUCKER, ROBERTA, OLSON | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2019 | < 5% |