SMITH AFFILIATED CAPITAL CORP.
SMITH AFFILIATED CAPITAL CORP Legal Name
Adviser information for SMITH AFFILIATED CAPITAL CORP. last updated from Form ADV on March 28th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 12 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 142 | $1.0B |
| Non-Discretionary | 2 | $703.5M |
| Total | 144 | $1.7B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 76 | $397.1M |
| HNW Individuals | 15 | $83.1M |
| 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 | 8 | $111.8M |
| Charitable organizations | 4 | $23.8M |
| State or municipal gov entities | 1 | $9.3M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 30 | $959.1M |
| Other | 10 | $153.2M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-17037 |
|---|---|
| SEC ERA File Number | 801-17037 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 107675 |
| Legal Entity Identifier | None |
Principal Office
88 PINE STREETWALL ST PLAZA
NEW YORK
NY
United States
Monday - Friday, 9 A.M.-5 P.M.
Tel: 212-644-9440, Fax: 212-644-1979
Chief Compliance Officer
MARIA E. SMITH
CEO
88 PINE STREET
WALL ST PLAZA
NEW YORK
NY
United States
Tel:
212-644-9440
Fax:
212-644-1979
M*********@***************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, ROBERT, G | Individual | – | CHAIRMAN EMERITUS\ CHIEF ECONOMIST | 01/2016 | < 5% |
| SMITH, MATTHEW, J. | Individual | – | CO-PRESIDENT \ SHAREHOLDER | 04/1995 | 10-25% |
| MATUS, PAUL | Individual | – | VICE PRESIDENT - PORTFOLIO MANAGER | 08/2004 | < 5% |
| PENG, JIANG | Individual | – | CO-PRESIDENT \ CHIEF INVESTMENT OFFICER \ SHAREHOLDER | 01/2012 | 10-25% |
| SMITH AFFILIATED VENTURES, LLC | Domestic Entity | – | OWNER | 02/2012 | > 75% |
| TONOGBANUA, ERWIN, DEFENSOR | Individual | – | VICE PRESIDENT \ PORTFOLIO MANAGER | 01/2012 | < 5% |
| SMITH, MARIA | Individual | SMITH AFFILIATED VENTURES, LLC | MEMBER | 12/2012 | 50-75% |
| SMITH, MARIA | Individual | – | CHIEF EXECUTIVE OFFICER\CHIEF COMPLIANCE OFFICER\SHAREHOLDER | 01/2012 | 50-75% |
| LYONS, JOSEPH, CONOR | Individual | – | PORTFOLIO MANAGER | 01/2016 | < 5% |
| JETER, ISABELLE, ROSE | Individual | – | PORTFOLIO MANAGER | 02/2021 | < 5% |
| Coster, Christina, Rosemary | Individual | – | CHIEF OPERATING OFFICER | 11/2021 | < 5% |