Smith & Associates Financial Services, LLC

Overview

Smith & Associates Financial Services, LLC is a small, privately owned investment adviser that operates with a hedge-fund orientation while serving individual and family clients. The firm charges fees based on a percentage of assets under management and provides portfolio management for both individual/small business clients and pooled investment vehicles. Smith & Associates also functions in roles beyond pure advisory work—acting as an investment sponsor and serving as general partner/managing member for pooled vehicles it sponsors. Investment activity is concentrated and equity-focused. The firm shows a clear preference for non‑exchange‑traded equities, with a limited footprint in traditional exchange‑traded stocks and ETFs. It allocates to third‑party hedge funds as part of its alternatives mix and also uses mutual funds where appropriate. Smith & Associates does not present itself as an ESG investor and is not structured as a multi‑state advisory platform; its operations and capital base are modest relative to larger RIAs.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices