{"url":"https://nivawealth.com/firms/chas-p-smith-and-associates-pa-cpa-s-104914","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/104914","regulatoryAum":2888320155,"crd":"104914","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5992098","suffix":null,"lastName":"BAILEY","firstName":"NOLEN","middleName":"BRYAN"},{"crd":"6762344","suffix":null,"lastName":"Bernard","firstName":"Richard","middleName":"David"},{"crd":"5517652","suffix":null,"lastName":"CLARK","firstName":"GARY","middleName":"ELDON"},{"crd":"6085594","suffix":null,"lastName":"CORRAO","firstName":"ANTHONY","middleName":"MARIO"},{"crd":"6583589","suffix":null,"lastName":"Eckenroth","firstName":"Robert","middleName":"Mark"},{"crd":"5163256","suffix":null,"lastName":"GAUTHIER","firstName":"PATRICK","middleName":"EGAN"},{"crd":"3032495","suffix":null,"lastName":"GOLOTKO","firstName":"PETER","middleName":"CHARLES"},{"crd":"6472492","suffix":null,"lastName":"HIGGINS","firstName":"RYAN","middleName":"PATRICK"},{"crd":"6155421","suffix":null,"lastName":"JACKSON","firstName":"ERIC","middleName":"J"},{"crd":"6207398","suffix":null,"lastName":"Jemison","firstName":"TAMARA","middleName":"L"},{"crd":"4841551","suffix":null,"lastName":"OXFORD","firstName":"DEREK","middleName":"MICHAEL"},{"crd":"5762338","suffix":null,"lastName":"RISKIN","firstName":"MICHAEL","middleName":"AARON"},{"crd":"6852159","suffix":null,"lastName":"SAVINON MOTA","firstName":"RACHAEL","middleName":"ALLISON"},{"crd":"6968364","suffix":"Jr.","lastName":"Searcy","firstName":"Sterling","middleName":"Jackson"},{"crd":"4028986","suffix":null,"lastName":"STROUD","firstName":"DEREK","middleName":"HUGH"},{"crd":"4029078","suffix":null,"lastName":"TYNDALL","firstName":"CHRISTOPHER","middleName":"LYNN"},{"crd":"4029316","suffix":null,"lastName":"TYNDALL","firstName":"LARRY","middleName":"KEITH"},{"crd":"6699387","suffix":null,"lastName":"Wilson","firstName":"Kelley","middleName":"Christopher"}],"total":18,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-05-04","regulatoryAum":1702429209,"clients":5952,"employees":14,"offices":1},{"filedOn":"2022-07-19","regulatoryAum":2172883502,"clients":6850,"employees":16,"offices":1},{"filedOn":"2023-03-30","regulatoryAum":1988218796,"clients":3508,"employees":21,"offices":1},{"filedOn":"2024-07-31","regulatoryAum":2353432854,"clients":3380,"employees":25,"offices":1},{"filedOn":"2025-03-28","regulatoryAum":2656293459,"clients":3276,"employees":60,"offices":1},{"filedOn":"2026-03-27","regulatoryAum":2888320155,"clients":3377,"employees":60,"offices":1}],"secFileNumber":"801-35294","legalName":"Chas. P. Smith & Associates, Pa, CPA'S","displayName":"Chas. P. 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P. Smith & Associates, Pa, CPA'S has custody of $55M in client assets for 56 clients.","otherCustodians":[],"leadership":[{"name":"Nolen Bailey","title":"Vice President/Secretary/Director","crd":"5992098"},{"name":"Peter Golotko","title":"President/Director","crd":"3032495"},{"name":"Leigh Davis","title":"Chief Operating Officer","crd":"6387365"},{"name":"Leila Shaver","title":"Chief Compliance Officer","crd":"5764341"},{"name":"Anthony Corrao","title":"Financial Planning Director/Partner","crd":"6085594"},{"name":"Erica Lupercio","title":"Brand Director/Partner","crd":"7720109"},{"name":"Michael Riskin","title":"Vice","crd":"5762338"}],"ownership":[{"label":"Peter Golotko","detail":"President/director in the 50% to 75% ownership band and a control person, since January 1998."},{"label":"Nolen Bailey","detail":"Vice president/secretary/director in the 10% to 25% ownership band and a control person, since July 2020."},{"label":"Michael Riskin","detail":"Vice in the 25% to 50% ownership band and a control person, since July 2017."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"205 East Orange Street #310","city":"Lakeland","headquarters":true}]}],"brochureServices":["estate planning","insurance","retirement plan services","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"863-688-1725","stateRegisteredReps":15,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Educational seminars/workshops"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":55},{"label":"Non-investment grade corporate bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":29},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":4},{"label":"Cash and cash equivalents","percent":9}],"privateFunds":0},"sources":{"adv1FilingDate":"27 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/104914/PDF/104914.pdf","brochureDate":"27 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1029755","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Chas. P. Smith & Associates, Pa, CPA'S have?","answer":"Chas. P. Smith & Associates, Pa, CPA'S has 3,377 clients and manages $2.89 billion for them, as of March 2026. They include 2,460 individual clients, 647 high-net-worth individuals, and 220 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Chas. P. Smith & Associates, Pa, CPA'S offer?","answer":"Chas. P. Smith & Associates, Pa, CPA'S provides financial planning, portfolio management for individuals and small businesses, educational seminars, estate planning, insurance, retirement plan services, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Chas. P. Smith & Associates, Pa, CPA'S charge?","answer":"Chas. P. Smith & Associates, Pa, CPA'S charges 0.75%–1.50% a year for its Direct Investment Supervisory Services. Each asset band is charged at its own rate. The fee is billed in advance and is negotiable.","source":"CPS - FORM ADV PART 2A, filed 27 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Chas. P. Smith & Associates, Pa, CPA'S use?","answer":"Chas. P. Smith & Associates, Pa, CPA'S’s separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $2.62B. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Chas. P. Smith & Associates, Pa, CPA'S have?","answer":"Chas. P. Smith & Associates, Pa, CPA'S has 15 investment adviser representatives registered with state securities authorities, out of 60 employees, and 21 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Chas. P. Smith & Associates, Pa, CPA'S invest in?","answer":"At the end of its last fiscal year, Chas. P. Smith & Associates, Pa, CPA'S’s separately managed accounts held 55% exchange-traded equities, 29% registered funds (mutual funds, ETFs, BDCs), 9% cash and equivalents, 4% pooled vehicles (private funds and similar) and 2% high-yield corporate bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Chas. P. Smith & Associates, Pa, CPA'S?","answer":"Chas. P. Smith & Associates, Pa, CPA'S’s direct owners are Peter Golotko (50% to 75%), Nolen Bailey (10% to 25%) and Michael Riskin (25% to 50%).","source":"Form ADV Part 1A, Schedules A and B, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Chas. P. Smith & Associates, Pa, CPA'S get paid?","answer":"Chas. P. Smith & Associates, Pa, CPA'S is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Chas. P. Smith & Associates, Pa, CPA'S?","answer":"Chas. P. Smith & Associates, Pa, CPA'S’s main office is at 205 East Orange Street #310, Lakeland, FL 33801-4611. Its phone number is 863-688-1725. Its website is cpsinvestmentadvisors.com.","source":"Form ADV Part 1A, Item 1.F, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}