Broker-dealer firm · Clayton, MO
Smith Moore & Co.
SEC-registered investment adviser · CRD 3441 · SEC 801-68175
At a glance
Smith Moore & Co. is an SEC-registered investment adviser based in Clayton, Missouri, with $2.4 billion in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 4,095 individual clients. By Form ADV it is a broker-dealer firm, ranked 122nd of 391 broker-dealer firms and 3,290th of 17,210 SEC-registered advisers by assets.
Main office 314-727-5225smithmoore.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $2.4B
- Rank among broker-dealer firms
- #122 of 391
- Rank among all SEC RIAs
- #3,290 of 17,210
- Rank in Missouri
- #38 of 196
- Individual clients
- 4,095
- High-net-worth clients
- 1,254
- Accounts
- 5,865
- Discretionary
- 89% of AUM
- Employees
- 65
- Advisory staff
- 50
- Offices
- 10
Owners and executives on its Form ADV
- Timothy Eugene SchulteChairman of the Board, Director
- Stewart James Jr DeutschPresident, Chief Exective Officer, Director
- Kent Charles SchmidtExecutive Vice President, Director
- Randall Paul RhynerExecutive Vice President, Director
- Amy Lynn BrodyChief Financial Officer, Finop
- Jaret Dalin PerrymanChief Compliance Officer
- Barbara Ann KraftChief Operating Officer
- Matthew Edward BraggExecutive Vice President, Secretary, Director
- Daniel Patrick MoranChief Technology Officer
Custody and brokerage
Custodian
Smith Moore & Co.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Smith Moore & Co. is a hybrid RIA: 55 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Smith Moore & Co..
- Smith Moore & Co. ↗CRD 3441
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 1,254 | $1.5B | 63% |
| Individuals | 2,841 | $689M | 29% |
| Corporations or other businesses | 16 | $117M | 5% |
| State or municipal government entities | 3 | $67M | 3% |
| Pension and profit sharing plans | 18 | $8M | <1% |
| Charitable organizations | 10 | $6M | <1% |
Disciplinary disclosures
Smith Moore & Co. answers yes to 1 disclosure item in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗smithmoore.com ↗
AtlasMembers
The full record on Smith Moore & Co.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 94 peers of its type and size
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- Owners and executives, with titles and stakes
- 9 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
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Background
Questions
How much does Smith Moore & Co. manage?
Smith Moore & Co. reports $2.4 billion in regulatory assets under management across 5,865 accounts, 89% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is Smith Moore & Co.?
Smith Moore & Co. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Smith Moore & Co.’s clients?
By assets, its largest client types are high-net-worth individuals ($1.5 billion, 1,254 clients); individuals ($689 million, 2,841 clients); corporations or other businesses ($117 million, 16 clients).
Does Smith Moore & Co. have any disciplinary history?
Smith Moore & Co. answers yes to 1 disclosure item in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Smith Moore & Co.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →