SMITH THORNTON ADVISORS, LLC
Adviser information for SMITH THORNTON ADVISORS, LLC last updated from Form ADV on March 19th, 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 | Alabama, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 526 | $188.7M |
| Non-Discretionary | 239 | $546.6M |
| Total | 765 | $735.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 224 | $53.9M |
| HNW Individuals | 80 | $245.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 23 | $427.4M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $1.1M |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $1.3M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $6.3M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 801-120351 |
|---|---|
| SEC ERA File Number | 801-120351 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 312537 |
| Legal Entity Identifier | None |
Principal Office
626 CLINTON AVENUE WESTSUITE 100
HUNTSVILLE
AL
United States
Monday - Friday, 8:00 AM - 4:00 PM
Tel: 256-715-7715, Fax: 256-715-7714
Chief Compliance Officer
DONNA M. RYBERG
626 CLINTON AVENUE WEST
SUITE 100
HUNTSVILLE
AL
United States
Tel:
256-715-7715
Fax:
256-715-7714
D*******@*********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, JOSEPH | Individual | – | MANAGING MEMBER | 01/2021 | 25-50% |
| THORNTON, STEVEN, CURTIS | Individual | – | MANAGING MEMBER | 01/2021 | 50-75% |
| SMITH, WILLIAM, PATRICK | Individual | – | MANAGING MEMBER | 01/2021 | 10-25% |
| RYBERG, DONNA, MACK | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2021 | < 5% |