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

Anthony Smith Advisors, Inc.

Former SEC-registered adviserAtlanta, GeorgiaCRD 125730SEC 801-67771IAPD
Latest filing Mar 14, 2019
First filing on the tape Mar 26, 2012 · 14 filings
RAUM
$234M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$234M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$234M as of Mar 14, 2019
Mar 26, 2012$181M then
HNW client RAUM$206M as of Mar 14, 2019
Mar 14, 2018$178M then
State-registered IARs (5.B.3)9 as of Mar 14, 2019
Mar 26, 20120 then
Employees (5.A)11 as of Mar 14, 2019
Mar 22, 20138 then
Private funds: no history
RAUM +8.1% over the last fiscal year-6.1% a year over threeIARs 8 to 9
Practice profile
derived from the filing of Mar 14, 2019; every figure names its basis
RAUM per advisor
$26.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
18derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$455,220derivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
9.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.1%derivedbetween the last two annual amendments
Advisor growth, one year
+13%derivedItem 5.B.3 between annual amendments
Client growth, one year
+22%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$172M, 130 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$206M88%
  • Individuals$28.1M12%
Individual clients
92reported
HNW clients
69reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
515reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$172M for 130 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
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
      • Ann Julia Davis · Vice President/Director/Shareholdercontrol
        since 12/2012 · owns 10% to 25%
      • Eugene Thomas Levert · Treasurer/Shareholder/Chief Compliance Officercontrol
        since 12/2012 · owns 5% to 10%
      • Rose Jennifer Mccarthy · Secretary/Vice President/Director/Shareholdercontrol
        since 07/2018 · owns 10% to 25%
      • Clarke Anthony Smith · President/Director/Shareholdercontrol
        since 05/1994 · owns 50% to 75%
      • Thomas Scott Smith · Shareholder
        since 12/2012 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • Anthony C. Smith, Attorney At Law
        n
      • Julia Davis
        insurancen
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 446 to 515
        Apr 4, 2018 to Mar 14, 2019
      • Advisory employees · 8 to 9
        Apr 4, 2018 to Mar 14, 2019
      • HNW clients · 51 to 69
        Apr 4, 2018 to Mar 14, 2019
      • Individual clients · 81 to 92
        Apr 4, 2018 to Mar 14, 2019
      • Assets in custody · $123M to $172M
        Apr 4, 2018 to Mar 14, 2019
      • Employees · 10 to 11
        Apr 4, 2018 to Mar 14, 2019
      • State-registered IARs · 8 to 9
        Apr 4, 2018 to Mar 14, 2019
      • Discretionary RAUM · $208M to $213M
        Apr 4, 2018 to Mar 14, 2019
      • HNW RAUM · $182M to $206M
        Apr 4, 2018 to Mar 14, 2019
      • Individual RAUM · $37.7M to $28.1M
        Apr 4, 2018 to Mar 14, 2019
      • Non-discretionary RAUM · $11.8M to $21.3M
        Apr 4, 2018 to Mar 14, 2019
      • RAUM · $220M to $234M
        Apr 4, 2018 to Mar 14, 2019
      • HNW clients · 50 to 51
        Mar 14, 2018 to Apr 4, 2018
      • Individual clients · 82 to 81
        Mar 14, 2018 to Apr 4, 2018
      • Discretionary RAUM · $205M to $208M
        Mar 14, 2018 to Apr 4, 2018
      • HNW RAUM · $178M to $182M
        Mar 14, 2018 to Apr 4, 2018
      • Individual RAUM · $38.6M to $37.7M
        Mar 14, 2018 to Apr 4, 2018
      • Non-discretionary RAUM · $11.8M to $11.8M
        Mar 14, 2018 to Apr 4, 2018
      • RAUM · $217M to $220M
        Mar 14, 2018 to Apr 4, 2018
      • Accounts · 557 to 446
        Aug 3, 2017 to Mar 14, 2018
      • Advisory employees · 10 to 8
        Aug 3, 2017 to Mar 14, 2018
      • Charity clients · unset to 0.0
        Aug 3, 2017 to Mar 14, 2018
      • Corporate clients · unset to 0.0
        Aug 3, 2017 to Mar 14, 2018
      • HNW clients · unset to 50.0
        Aug 3, 2017 to Mar 14, 2018
      • Individual clients · unset to 82.0
        Aug 3, 2017 to Mar 14, 2018
      • Pension plan clients · unset to 0.0
        Aug 3, 2017 to Mar 14, 2018
      • Pooled vehicle clients · unset to 0.0
        Aug 3, 2017 to Mar 14, 2018
      • Assets in custody · $111M to $123M
        Aug 3, 2017 to Mar 14, 2018
      • Employees · 12 to 10
        Aug 3, 2017 to Mar 14, 2018
      • State-registered IARs · 6 to 8
        Aug 3, 2017 to Mar 14, 2018
      • Other offices · unset to 0.0
        Aug 3, 2017 to Mar 14, 2018
      • Discretionary RAUM · $184M to $205M
        Aug 3, 2017 to Mar 14, 2018
      • HNW RAUM · unset to 178331154.0
        Aug 3, 2017 to Mar 14, 2018
      • Individual RAUM · unset to 38632825.0
        Aug 3, 2017 to Mar 14, 2018
      • Non-discretionary RAUM · $121M to $11.8M
        Aug 3, 2017 to Mar 14, 2018
      • Pension RAUM · unset to 0.0
        Aug 3, 2017 to Mar 14, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Aug 3, 2017 to Mar 14, 2018
      • RAUM · $305M to $217M
        Aug 3, 2017 to Mar 14, 2018
      • Accounts · 540 to 557
        Jan 11, 2017 to Mar 13, 2017
      • Advisory employees · 8 to 10
        Jan 11, 2017 to Mar 13, 2017
      Signals
      1 dated events
      • Rose Jennifer Mccarthy (Secretary/Vice President/Director/Shareholder) appeared on Schedule A of Anthony Smith Advisors, Inc.
        Mar 14, 2019 · Control person joined · fact
      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