DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Smith Capital Management Inc

Former SEC-registered adviserLittle Rock, ArkansasCRD 104924SEC 801-21681IAPD
Latest filing Jun 29, 2020
First filing on the tape Mar 28, 2012 · 27 filings
RAUM
$504M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$445M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$52.6M gross assets
History
27 filings and snapshots on the tape
RAUM$504M as of Mar 27, 2020
Mar 28, 2012$311M then
HNW client RAUM$362M as of Mar 27, 2020
Mar 30, 2018$302M then
State-registered IARs (5.B.3)5 as of Mar 27, 2020
Mar 28, 20120 then
Employees (5.A)6 as of Mar 27, 2020
Mar 14, 20136 then
Private funds1 as of Mar 27, 2020
Mar 28, 20121 then
RAUM +8.7% over the last fiscal year+8.6% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Jun 29, 2020; every figure names its basis
RAUM per advisor
$101MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
75derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$574,328derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
7.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.7%derivedbetween the last two annual amendments
Advisor growth, one year
-17%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.7%derived
Compensation
percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, publicationsreportedItem 5.G
Custody
$86.4M, 158 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$362M72%
  • Individuals$83.3M17%
  • Pension and profit-sharing plans$38.5M7.6%
  • Corporations and businesses$19.1M3.8%
  • Charitable organizations$789,7880.2%
Individual clients
206reported
HNW clients
169reported
Pension plan clients
9reported
Charitable clients
1reported
Accounts
877reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$86.4M for 158 clientsreported
Compensation
% of AUM, fixed, hourly, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Ward Stephen Chaffin · Presidentcontrol
        since 07/2000 · owns less than 5%
      • Carol Linda Mobley · Chief Compliance Officercontrol
        since 01/2004 · owns less than 5%
      • Ward Stephen Chaffin · Ownercontrol
        since 07/2000 · owns 75% or more of Chasc Inc.
      • Kelly Jay White · Principal And Chief Investment Officer
        since 01/2019 · owns less than 5%
      Entity owners
      • Chasc Inc. · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $503M to $86.4M
        Mar 27, 2020 to Apr 21, 2020
      • Accounts · 900 to 877
        Dec 18, 2019 to Mar 27, 2020
      • Advisory employees · 5 to 4
        Dec 18, 2019 to Mar 27, 2020
      • HNW clients · 148 to 169
        Dec 18, 2019 to Mar 27, 2020
      • Individual clients · 217 to 206
        Dec 18, 2019 to Mar 27, 2020
      • Assets in custody · $463M to $503M
        Dec 18, 2019 to Mar 27, 2020
      • Employees · 7 to 6
        Dec 18, 2019 to Mar 27, 2020
      • State-registered IARs · 6 to 5
        Dec 18, 2019 to Mar 27, 2020
      • Discretionary RAUM · $459M to $503M
        Dec 18, 2019 to Mar 27, 2020
      • HNW RAUM · $320M to $362M
        Dec 18, 2019 to Mar 27, 2020
      • Individual RAUM · $91.5M to $83.3M
        Dec 18, 2019 to Mar 27, 2020
      • Non-discretionary RAUM · $4.1M to $897,010
        Dec 18, 2019 to Mar 27, 2020
      • Pension RAUM · $33.0M to $38.5M
        Dec 18, 2019 to Mar 27, 2020
      • RAUM · $463M to $504M
        Dec 18, 2019 to Mar 27, 2020
      • Accounts · 857 to 900
        Sep 13, 2018 to Mar 29, 2019
      • Advisory employees · 4 to 5
        Sep 13, 2018 to Mar 29, 2019
      • Corporate clients · 9 to 7
        Sep 13, 2018 to Mar 29, 2019
      • HNW clients · 129 to 148
        Sep 13, 2018 to Mar 29, 2019
      • Individual clients · 227 to 217
        Sep 13, 2018 to Mar 29, 2019
      • Assets in custody · $449M to $463M
        Sep 13, 2018 to Mar 29, 2019
      • Employees · 6 to 7
        Sep 13, 2018 to Mar 29, 2019
      • State-registered IARs · 5 to 6
        Sep 13, 2018 to Mar 29, 2019
      • Discretionary RAUM · $443M to $459M
        Sep 13, 2018 to Mar 29, 2019
      • HNW RAUM · $302M to $320M
        Sep 13, 2018 to Mar 29, 2019
      • Individual RAUM · $90.2M to $91.5M
        Sep 13, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · $5.6M to $4.1M
        Sep 13, 2018 to Mar 29, 2019
      • Pension RAUM · $36.6M to $33.0M
        Sep 13, 2018 to Mar 29, 2019
      • RAUM · $449M to $463M
        Sep 13, 2018 to Mar 29, 2019
      • Assets in custody · $57.3M to $449M
        Apr 4, 2018 to May 4, 2018
      • Accounts · 848 to 857
        Mar 22, 2017 to Mar 30, 2018
      • Advisory employees · 5 to 4
        Mar 22, 2017 to Mar 30, 2018
      • Charity clients · unset to 1.0
        Mar 22, 2017 to Mar 30, 2018
      • Corporate clients · unset to 9.0
        Mar 22, 2017 to Mar 30, 2018
      • HNW clients · unset to 129.0
        Mar 22, 2017 to Mar 30, 2018
      • Individual clients · unset to 227.0
        Mar 22, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 9.0
        Mar 22, 2017 to Mar 30, 2018
      • Assets in custody · $54.9M to $57.3M
        Mar 22, 2017 to Mar 30, 2018
      • Financial planning clients · 26-50 to 11-25
        Mar 22, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 22, 2017 to Mar 30, 2018
      • Discretionary RAUM · $391M to $443M
        Mar 22, 2017 to Mar 30, 2018
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026