{"url":"https://nivawealth.com/firms/smith-capital-investors-294402","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/294402","regulatoryAum":13111663806,"crd":"294402","secFileNumber":"801-113172","legalName":"Smith Capital Investors, LLC","displayName":"Smith Capital Investors","website":"https://smithcapitalinvestors.com/","linkedinUrl":"https://www.linkedin.com/company/smith-capital-investors/","founded":null,"organization":"Colorado limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1555 Blake Street, Suite 250","city":"Denver","state":"CO","stateName":"Colorado","country":"United States","postalCode":"80202-1866"},"tradeNames":[],"registration":{"secApproved":"17 May 2018","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":30,"advisory":17,"brokerDealerReps":11,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":13111663806,"discretionaryAccounts":6,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Investment companies","clients":6,"regulatoryAum":13111663806}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Smith Capital Investors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Kendall Katskee","title":"Chief Financial Officer","crd":"8195197"},{"name":"Michael Mulder","title":"Chief Compliance Officer","crd":"5527705"},{"name":"Richard Smith","title":"CIO/CEO","crd":"2163325"}],"ownership":[{"label":"Richard Smith","detail":"Cio/ceo in the 75% or more ownership band and a control person, since November 2017."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"officesByState":[{"state":"Colorado","offices":2,"addresses":[{"street":"1555 Blake Street, Suite 250","city":"Denver","headquarters":true},{"street":"1430 Blake Street","city":"Denver"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"303-597-5555","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for investment companies"],"financialPlanningClients":null,"assetMix":[],"privateFunds":0},"sources":{"adv1FilingDate":"27 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/294402/PDF/294402.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Smith Capital Investors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Smith Capital Investors offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Smith Capital Investors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Smith Capital Investors?","answer":"Smith Capital Investors’ direct owner is Richard Smith (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 27 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Smith Capital Investors get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}}],"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 Wealth 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."}