FAQ

Q: When was your firm founded?

A: We were founded as an independent registered investment advisor in 1984.

Q: Who will I work with at Smith Capital Management?

A: You will be working with a team of two financial advisors and one dedicated portfolio administrator.

Q: Why do I need a financial advisor?

A: Few investors have the experience, time and access to information needed to successfully manage their investment assets.

Q: Who are your clients?

A: We manage money for a diverse group of clients, including individuals, trusts, estates, charitable organizations, and businesses.

Q: What type of investments do you use?

A: This depends on the client. Investment strategy is determined after meeting with the client to determine their goals and objectives.

Q: Where will my account be located?

A: Charles Schwab & Co., Inc. serves as our primary custodian, but other firms may also be utilized. Your account will be held in your name, with Smith Capital Management having discretionary authority to make investment decisions on your behalf.

Q: How is your firm compensated?

A: We are fee-based and compensated only by our clients.

Q: How is the fee paid to Smith Capital Management?

A: Our fees are based on the assets under management. The fee percentage decreasing as the asset level increases.

Q: How do I become a client of Smith Capital Management?

A: You simply review and sign a few documents, including Smith Capital Management’s Advisory Agreement. Our staff will assist with the transfer of assets and take care of the details.