Smith Moore & Co.

Registered investment adviser · Clayton, MO · CRD #3441

Form ADV data as of 2026-09-01

Regulatory assets

$2.37 billion

Total accounts

5,865

Employees

Disclosure events

Firm details

Website: https://www.linkedin.com/company/smith-moore-&-company/
Telephone: 314-727-5225
SEC file number: 801-68175
Most recent Form ADV filing: 2026-03-31
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 1 disclosure question answered Yes, covering 1 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

A self-regulatory organization expelled, suspended, barred, or restricted the firm

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$2.11 billion
Non-discretionary regulatory assets under management	$266.4 million
Total regulatory assets under management	$2.37 billion
Discretionary accounts	5,265
Non-discretionary accounts	600
Total accounts	5,865
Regulatory assets under management attributable to non-U.S. persons	$12.1 million

People

Total employees (excluding clerical)	65
Employees performing investment advisory functions (including research)	50
Employees who are registered representatives of a broker-dealer	55
Employees registered as investment adviser representatives with a state	50
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	35
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)

Other business activities

Broker-dealer (registered or unregistered)Insurance broker or agent

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	2,841	$688.8 million
High net worth individuals	1,254	$1.48 billion
Pension and profit sharing plans (not the participants or government plans)	18	$8.2 million
Charitable organizations	10	$6.4 million
State or municipal government entities (including government pension plans)	3	$66.8 million
Corporations or other businesses not listed above	16	$117.3 million