DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

SMITH CAPITAL MANAGEMENT INC

CRD 104924

LITTLE ROCK, AR

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:be8c7266-c4ea-9f82-3793-a608d20edcdd

Data as of Jun 29, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 1
Observed: Mar 28, 2012 to Jun 29, 2020
27 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Smith Capital Management Inc

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $504MItem 5.F on the latest filing (2020-06-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $503M
Private client RAUM: $445MderivedItem 5.D individuals plus high net worth individuals
Private client share: 88%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 877
Individual clients: 206
High net worth clients: 169
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $52.6Mgross asset value as reported per fund; never fund size
Custody, client assets: $86.4M
SEC number: 801-21681
CRD: 104924
Filings on the tape: 27
First filed: Mar 28, 2012
Latest filed: Jun 29, 2020
Organised: Corporation, Arkansas

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CHAFFIN, STEPHEN, WARD	Owner	E	yes	07/2000	Mar 28, 2012	Jun 29, 2020
CHAFFIN, STEPHEN, WARD	President	Na	yes	07/2000	Mar 28, 2012	Jun 29, 2020
CHASC INC.	Owner	E	yes	07/2000	Dec 16, 2019	Jun 29, 2020
MOBLEY, LINDA, CAROL	CHIEF COMPLIANCE OFFICER	Na	yes	01/2004	Mar 28, 2012	Jun 29, 2020
WHITE, JAY, KELLY	PRINCIPAL AND CHIEF INVESTMENT OFFICER	Na	no	01/2019	Mar 29, 2019	Jun 29, 2020

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 27, 2020	$504M	$503M	6	4	0	1	$52.6M
2018	Mar 29, 2019	$463M	$459M	7	5	0	1	$55.7M
2017	Mar 30, 2018	$449M	$443M	6	4	0	1	$57.3M
2016	Mar 22, 2017	$394M	$391M	6	5	n/a	1	$54.9M
2015	Mar 10, 2016	$356M	$341M	6	5	n/a	1	$50.9M
2014	Mar 17, 2015	$322M	$322M	6	6	n/a	1	$45.3M
2013	Mar 26, 2014	$389M	$389M	6	5	n/a	1	$45.6M
2012	Mar 14, 2013	$336M	$336M	6	5	n/a	1	$43.7M
2011	Mar 28, 2012	$311M	$311M	n/a	n/a	n/a	1	$33.3M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$504M	$463M	8.7%	$394M	8.6%	6	7	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MAI CAPITAL MANAGEMENT, LLC	3	Dec 15, 2020	Jan 4, 2021	LITTLE ROCK, AR	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (3)

← CHAFFIN, STEPHEN, WARDOwnerOWNER, ownership code E, individual
Mar 28, 2012 to presentfactForm ADV
← MOBLEY, LINDA, CAROLOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← CHASC INC.OwnerOWNER, ownership code E, domestic entity
Dec 16, 2019 to presentfactForm ADV

Owns (1)

← WHITE, JAY, KELLYOwnerPRINCIPAL AND CHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 29, 2019 to presentfactForm ADV

Moved with (1)

→ MAI CAPITAL MANAGEMENT, LLCRegistered adviser3 advisors, firm absorbed, same day
Dec 15, 2020 to Jan 4, 2021factForm ADV

Registered with (4)

← STEPHEN WARD CHAFFINAdvisorregistration: previous registration
Mar 1, 1996 to Dec 15, 2020factForm ADV
← JAY KELLY WHITEAdvisorregistration: previous registration
Aug 20, 2001 to Dec 15, 2020factForm ADV
← MATTHEW ROSS CHAFFINAdvisorregistration: previous registration
Nov 6, 2018 to Dec 15, 2020factForm ADV
← AUSTIN Blair BRYANAdvisorregistration: previous registration
Sep 5, 2014 to Mar 26, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:be8c7266-c4ea-9f82-3793-a608d20edcdd
First observed: Mar 28, 2012
Last observed: Jun 29, 2020 75 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SMITH CAPITAL MANAGEMENT INC

CRD 104924

LITTLE ROCK, AR

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:be8c7266-c4ea-9f82-3793-a608d20edcdd

Data as of Jun 29, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:30 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CHAFFIN, STEPHEN, WARD

Owner

yes

07/2000

Mar 28, 2012

Jun 29, 2020

CHAFFIN, STEPHEN, WARD

President

yes

07/2000

Mar 28, 2012

Jun 29, 2020

CHASC INC.

Owner

yes

07/2000

Dec 16, 2019

Jun 29, 2020

MOBLEY, LINDA, CAROL

CHIEF COMPLIANCE OFFICER

yes

01/2004

Mar 28, 2012

Jun 29, 2020

WHITE, JAY, KELLY

PRINCIPAL AND CHIEF INVESTMENT OFFICER

01/2019

Mar 29, 2019

Jun 29, 2020

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 27, 2020

$504M

$503M

$52.6M

2018

Mar 29, 2019

$463M

$459M

$55.7M

2017

Mar 30, 2018

$449M

$443M

$57.3M

2016

Mar 22, 2017

$394M

$391M

n/a

$54.9M

2015

Mar 10, 2016

$356M

$341M

n/a

$50.9M

2014

Mar 17, 2015

$322M

n/a

$45.3M

2013

Mar 26, 2014

$389M

n/a

$45.6M

2012

Mar 14, 2013

$336M

n/a

$43.7M

2011

Mar 28, 2012

$311M

n/a

$33.3M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$504M

$463M

8.7%

$394M

8.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MAI CAPITAL MANAGEMENT, LLC

Dec 15, 2020

Jan 4, 2021

LITTLE ROCK, AR

Firm absorbed

RIA to RIA

100.0%