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SMITH AFFILIATED CAPITAL CORP

Advisory

N·NEW YORK, NY

Data as of Mar 30, 2026 · Source: SEC Form ADV

Total AUM

$1.7B

1-Year AUM Growth

+0.4%

3-Year CAGR

-5.3%

Employees

8

Assets Under Management

Total AUM$1.7B

Discretionary AUM$853M

Non-Discretionary AUM$830M

Discretionary %50.7%

Total Clients124

Team

Total Employees8

Investment Advisers10

Employee Growth (1Y)0.0%

Filing History

Total Filings on Record48

First FilingMar 29, 2001

Latest FilingMar 30, 2026

🔒 Full AUM trend chart and 48 historical filings spanning 25+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on SMITH AFFILIATED CAPITAL CORP

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.