Clients
Smith Capital Investors serves 6 clients. The average client has about $2.19 billion with the firm.
- Investment companies6 clients100%
Show client breakdownHide client breakdown
| Client type | Clients | Regulatory AUM | Share | Avg. per client |
|---|---|---|---|---|
| Investment companies | 6 | $13,111,663,806 | 100.0% | $2.19B |
| Total | 6 | $13,111,663,806 | 100% | $2.19B |
- Clients
- 6
- Regulatory AUM
- $13,111,663,806
- Share
- 100.0%
- Avg. per client
- $2.19B
Total
- Clients
- 6
- Regulatory AUM
- $13,111,663,806
- Share
- 100%
- Avg. per client
- $2.19B
What it does
Smith Capital Investors provides portfolio management for investment companies. It is paid through a percentage of assets.
Smith Capital Investors advises no private funds.
100.0% of assets ($13.11B across 6 accounts) are managed with discretion. 0% of clients are outside the U.S., and 0 clients received advice without assets under management last fiscal year.
Custodians
Smith Capital Investors does not have custody of client assets.
- All other custodians$13.11B100%
Ownership and leadership
Richard Smith owns 75% or more of Smith Capital Investors.
- Owns 75% or more of Smith Capital Investors, LLC
Richard Smith
Control person · since November 2017
Leadership
- Kendall KatskeeChief Financial Officer
- Michael MulderChief Compliance Officer
- Richard SmithCIO/CEO
Staff
- 30 employees
- 17 in advisory functions
- 4 state-registered reps
- 11 broker-dealer reps
Fees
Smith Capital Investors is paid through a percentage of assets under management.
Smith Capital Investors’ fee rates are not included in this profile. Find its brochure on the SEC’s site.
Offices and registrations
Besides its headquarters, Smith Capital Investors has 1 office, with 2 listed addresses in 1 state.
Colorado · 2 listed addresses
- 1555 Blake Street, Suite 250, DenverHQ
- 1430 Blake Street, Denver
Registration details
- Legal name
- Smith Capital Investors, LLC
- Headquarters
- 1555 Blake Street, Suite 250, Denver, CO 80202-1866
- Phone
- 303-597-5555
- Website
- smithcapitalinvestors.com
- SEC file
- 801-113172
- Structure
- Colorado LLC
- Fiscal year end
- December
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. See this firm's record on adviserinfo.sec.gov
Common questions
How many clients does Smith Capital Investors have?
Smith Capital Investors has 6 clients and manages $13.1 billion for them, as of February 2026.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 27 February 2026
What services does Smith Capital Investors offer?
Smith Capital Investors provides portfolio management for investment companies.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How many financial advisors does Smith Capital Investors have?
Smith Capital Investors has 4 investment adviser representatives registered with state securities authorities, out of 30 employees, and 17 perform investment advisory functions. 11 are registered representatives of a broker-dealer and 0 are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
Who owns Smith Capital Investors?
Smith Capital Investors’ direct owner is Richard Smith (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 27 February 2026
How does Smith Capital Investors get paid?
Smith Capital Investors 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