Smith & Co Advisory Llc
- Regulatory AUM
- $118M
- Discretionary
- $115M
- Clients
- 210
- Avg AUM / client
- $564K
- Accounts
- 331
- Employees
- 2
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of May 05, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 162 | $19.7M | 16.7% |
| High net worth individuals | 44 | $95.7M | 80.8% |
| Pension and profit sharing plans | 4 | $3.0M | 2.55% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Bradley Ray Smith | Partner & Chief Compliance Officer | May 2017 (9y) | 25% – 50% | |
| Benjamin Patrick Wynd | Partner | May 2017 (9y) | 25% – 50% | |
| Ashworth, Robert, Cullen | Trustee | Sep 2024 (2y) | GP / trustee / elected manager of The Brad Smith Tist (indirect) | |
| Smith, Laurie, Ann | Trustee | Sep 2024 (2y) | GP / trustee / elected manager of The Brad Smith Tist (indirect) | |
| Wynd, Rebecca, Lynne | Trustee | Oct 2024 (2y) | GP / trustee / elected manager of Southern Capital Tist (indirect) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| The Brad Smith Tist | Member | Sep 2024 | A | 25% – 50% |
| Southern Capital Tist | Member | Oct 2024 | A | 25% – 50% |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/05/2026 | 1.02 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Other services
Custody
Reported custodians
- National Financial Services (Fidelity) $112M (87% of AUM) Dec 2025
- Fidelity Brokerage Services $107M (91% of AUM) May 2026
- Transamerica Financial Advisors, Inc $12.2M (9% of AUM) Dec 2025
- Charles Schwab & Co. $8.0M (7% of AUM) May 2026
- July Services $3.9M (3% of AUM) Dec 2025
- American Funds & Trusts Incorporated $839K (1% of AUM) Dec 2025
- John Hancock Distributors Llc $19.5K (0% of AUM) Dec 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 05, 2026.
View current Form ADV (SEC/IAPD) ↗