Fee-only adviser · New York, NY
Smith Affiliated Capital Corp.
Smith Affiliated Capital Corp. is a fee-only investment adviser registered with the U.S. Securities and Exchange Commission, with its main office in New York, New York. On its latest Form ADV, filed March 30, 2026, it reports $1.7B in regulatory assets under management, 81 individual clients and 8 employees who give investment advice. It reports no commission compensation, is not registered as a broker-dealer and does not act as an insurance agent.
Key facts from Form ADV
| Registration | SEC-registered |
|---|---|
| Firm CRD number | 107675 · SEC file 801-17037 |
| Office | 45 Broadway Suite 210 New York, NY 10006 |
| Phone | (212) 644-9440 |
| Website | www.smithcapital.com |
| Regulatory assets under management | $1.7B ($853M discretionary) |
| Individual clients | 60 non-high-net-worth, 21 high-net-worth |
| Financial planning clients | Not reported |
| How it charges | Percentage of assets |
| Services | Portfolio management |
| Employees | 10 |
| Disciplinary disclosures | None reported |
| Latest Form ADV filing | March 30, 2026 |
Source: the firm’s Form ADV Part 1A as published by the SEC’s Investment Adviser Public Disclosure database, data as of November 6, 2026. Figures are self-reported by the firm.
What this means for you
- It charges only as a percentage of the assets it manages. Ask about the fee schedule and any account minimum, which Form ADV Part 1 does not record.
- Most of its individual clients are not high-net-worth, so it is likely to work with people who are still building assets.
- It reports no disciplinary history on Form ADV.
Before you hire any adviser
Read the firm’s Form ADV Part 2 brochure on its SEC record: it sets out fees, minimums, conflicts of interest and who will manage your money. Ask whether the firm acts as a fiduciary for all of your accounts, how it is paid in total, and who holds your assets. Our guide to choosing a financial adviser lists the questions to ask.
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