{"url":"https://nivawealth.com/firms/smith-brown-and-groover-1329","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/1329","regulatoryAum":284162648,"crd":"1329","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5013252","suffix":null,"lastName":"HEMINGWAY","firstName":"TIM","middleName":"DAVIDSON"},{"crd":"4008803","suffix":null,"lastName":"NORRIS","firstName":"RANDALL","middleName":"OWEN"},{"crd":"731506","suffix":"JR","lastName":"SMITH","firstName":"RAYMOND","middleName":"HILL"}],"total":3,"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":"2021-06-21","regulatoryAum":170089978,"clients":409,"employees":11,"offices":1},{"filedOn":"2022-03-29","regulatoryAum":199946002,"clients":422,"employees":10,"offices":1},{"filedOn":"2023-03-30","regulatoryAum":191910822,"clients":455,"employees":10,"offices":1},{"filedOn":"2024-03-28","regulatoryAum":240786378,"clients":463,"employees":9,"offices":1},{"filedOn":"2025-03-28","regulatoryAum":283344603,"clients":469,"employees":9,"offices":1},{"filedOn":"2026-03-16","regulatoryAum":284162648,"clients":481,"employees":7,"offices":1}],"secFileNumber":"801-117531","legalName":"Smith, 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2","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019232","versionId":1019232,"submittedOn":"2026-03-16"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019234","versionId":1019234,"submittedOn":null},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019233","versionId":1019233,"submittedOn":null},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019231","versionId":1019231,"submittedOn":null}]},"custodians":[],"custodyNote":"Smith, Brown & Groover has custody of client assets.","leadership":[{"name":"Raymond Hill Jr Smith","title":"Chief Executive Officer","crd":"731506"},{"name":"Thomas Earl Jr Barfield","title":"Senior Vice President","crd":"4518997"},{"name":"Thomas Dewitt Jr. Gaither","title":"President/Chief Compliance Officer","crd":"6007486"},{"name":"Holli Cox Edwards","title":"Chief Financial Officer","crd":"5967474"},{"name":"Holli Cox Edwards","title":"Financial and Operations Principal","crd":"5967474"},{"name":"Thomas Dewitt Jr. Gaither","title":"COO/General Securities Principal","crd":"6007486"}],"ownership":[{"label":"Raymond Hill Jr Smith","detail":"Chief executive officer in the 75% or more ownership band and a control person, since July 1992."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Georgia","offices":1,"addresses":[{"street":"4001 Vineville Ave","city":"Macon","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"478-474-7004","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Other"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":90},{"label":"Cash and cash equivalents","percent":10}],"privateFunds":0},"sources":{"adv1FilingDate":"16 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/1329/PDF/1329.pdf","brochureDate":"16 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019232","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 Smith, Brown & Groover have?","answer":"Smith, Brown & Groover has 481 clients and manages $284 million for them, as of March 2026. They include 398 individual clients, 79 high-net-worth individuals, and 4 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 16 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Smith, Brown & Groover offer?","answer":"Smith, Brown & Groover provides portfolio management for individuals and small businesses and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Smith, Brown & Groover charge?","answer":"Smith, Brown & Groover charges 1.00% a year for its Management fees. The fee is billed in arrears, is not negotiable and requires an account of at least $50,000.","source":"2026-02-28 SBG ADV PART 2, filed 16 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"How many financial advisors does Smith, Brown & Groover have?","answer":"Smith, Brown & Groover has 3 investment adviser representatives registered with state securities authorities, out of 7 employees, and 5 perform investment advisory functions. 7 employees are registered representatives of a broker-dealer and 4 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 Smith, Brown & Groover invest in?","answer":"At the end of its last fiscal year, Smith, Brown & Groover’s separately managed accounts held 90% exchange-traded equities and 10% cash and equivalents.","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":"Does Smith, Brown & Groover have a minimum investment?","answer":"Yes, Smith, Brown & Groover’s minimum account size for its Management fees is $50K.","source":"2026-02-28 SBG ADV PART 2, filed 16 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Smith, Brown & Groover?","answer":"Smith, Brown & Groover’s direct owner is Raymond Hill Jr Smith (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 16 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Smith, Brown & Groover get paid?","answer":"Smith, Brown & Groover is paid through a percentage of assets under management. 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":"Is Smith, Brown & Groover registered with the SEC?","answer":"Yes, Smith, Brown & Groover has been registered with the SEC as an investment adviser since 24 October 2019. Its CRD number is 1329 and its SEC file number is 801-117531.","source":"Form ADV Part 1A, Item 1, filed 16 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Smith, Brown & Groover?","answer":"Smith, Brown & Groover’s main office is at 4001 Vineville Ave, Macon, GA 31210-5039. Its phone number is 478-474-7004. Its website is smithbrownandgroover.com.","source":"Form ADV Part 1A, Item 1.F, filed 16 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."}