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.
SEC-registered adviser
Smith Capital Investors, LLC
Latest filing Feb 27, 2026
First filing on the tape Apr 6, 2018 · 20 filings
SEC status approved since May 17, 2018
RAUM
$13B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$3.3B
derived; firm RAUM over IAPD count
Employees
30
17 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$13B as of Feb 27, 2026
Mar 30, 2019$47.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Feb 27, 2026
Mar 30, 20191 then
Employees (5.A)30 as of Feb 27, 2026
Mar 30, 20199 then
Private funds: no history
RAUM +149% over the last fiscal year+67% a year over threeIARs 4 to 4offices 0 to 1
Practice profile
derived from the filing of Feb 27, 2026; every figure names its basis
- RAUM per advisor
- $3.3BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $2.2BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +149%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$13B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=11.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Eric BernumChartered Financial Analyst | Denver, Co | Jun 21, 2018 | 21 y | 0 |
| Zachary Carl Tucker | Denver, Co | Jul 23, 2019 | 20 y | 0 |
| William Charles Mccurdy | Denver, Co | Nov 24, 2020 | 11 y | 0 |
| Wade Aaron Clouse | Denver, Co | Mar 3, 2022 | 27 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Colleen Marie Denzler to Loomis, Sayles & Company, L.P.Apr 19, 2022 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Gibson Richard Smith · Managing Membercontrolsince 11/2017 · owns 75% or more
- Olson Roberta Tucker · Chief Compliance Officersince 02/2019 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Denver, Co · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Feb 27, 2026RAUM (Item 5.F) moved from $5,271,991,016 to $13,111,663,806 (+149.0%) between the annual amendments of 2025-02-21 and 2026-02-27; the peer median change was +13.0% (631 comparable advisers, 98.0th percentile of changes)peers: asset managers, $5B to $20B (631) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 3 to 6Dec 4, 2025 to Feb 27, 2026
- Advisory employees · 12 to 17Dec 4, 2025 to Feb 27, 2026
- BD registered reps · 12 to 11Dec 4, 2025 to Feb 27, 2026
- Employees · 27 to 30Dec 4, 2025 to Feb 27, 2026
- Discretionary RAUM · $12B to $13BDec 4, 2025 to Feb 27, 2026
- RAUM · $12B to $13BDec 4, 2025 to Feb 27, 2026
- Other offices · 0 to 1Sep 3, 2025 to Dec 4, 2025
- Accounts · 2 to 3Feb 21, 2025 to May 12, 2025
- Advisory employees · 11 to 12Feb 21, 2025 to May 12, 2025
- BD registered reps · 11 to 12Feb 21, 2025 to May 12, 2025
- Employees · 24 to 27Feb 21, 2025 to May 12, 2025
- Financial planning clients · unset to Feb 21, 2025 to May 12, 2025
- Discretionary RAUM · $5.3B to $12BFeb 21, 2025 to May 12, 2025
- RAUM · $5.3B to $12BFeb 21, 2025 to May 12, 2025
- Advisory employees · 9 to 11Jun 27, 2024 to Feb 21, 2025
- BD registered reps · 9 to 11Jun 27, 2024 to Feb 21, 2025
- Employees · 17 to 24Jun 27, 2024 to Feb 21, 2025
- Discretionary RAUM · $3.7B to $5.3BJun 27, 2024 to Feb 21, 2025
- RAUM · $3.7B to $5.3BJun 27, 2024 to Feb 21, 2025
- Accounts · 4 to 2Oct 27, 2023 to Feb 29, 2024
- BD registered reps · 10 to 9Oct 27, 2023 to Feb 29, 2024
- Employees · 16 to 17Oct 27, 2023 to Feb 29, 2024
- Discretionary RAUM · $2.8B to $3.7BOct 27, 2023 to Feb 29, 2024
- RAUM · $2.8B to $3.7BOct 27, 2023 to Feb 29, 2024
- Advisory employees · 10 to 9Mar 3, 2022 to Mar 7, 2023
- BD registered reps · 11 to 10Mar 3, 2022 to Mar 7, 2023
- Discretionary RAUM · $2.7B to $2.8BMar 3, 2022 to Mar 7, 2023
- RAUM · $2.7B to $2.8BMar 3, 2022 to Mar 7, 2023
- Advisory employees · 9 to 10Apr 26, 2021 to Mar 3, 2022
- BD registered reps · 10 to 11Apr 26, 2021 to Mar 3, 2022
- Employees · 15 to 16Apr 26, 2021 to Mar 3, 2022
- Discretionary RAUM · $1.8B to $2.7BApr 26, 2021 to Mar 3, 2022
- RAUM · $1.8B to $2.7BApr 26, 2021 to Mar 3, 2022
- Accounts · 2 to 4Jul 15, 2020 to Mar 19, 2021
- BD registered reps · 6 to 10Jul 15, 2020 to Mar 19, 2021
- Employees · 11 to 15Jul 15, 2020 to Mar 19, 2021
- State-registered IARs · 3 to 4Jul 15, 2020 to Mar 19, 2021
- Discretionary RAUM · $552M to $1.8BJul 15, 2020 to Mar 19, 2021
- RAUM · $552M to $1.8BJul 15, 2020 to Mar 19, 2021
- Advisory employees · 6 to 9Mar 30, 2019 to Feb 21, 2020
Signals
7 dated events
- Smith Capital Investors, Llc reported RAUM $12.4B, up 136% from $5.3B (2025-02-21 to 2025-05-12)May 12, 2025 · RAUM change · derived
- Smith Capital Investors, Llc reported RAUM $5.3B, up 42% from $3.7B (2024-06-27 to 2025-02-21)Feb 21, 2025 · RAUM change · derived
- Smith Capital Investors, Llc reported RAUM $3.7B, up 32% from $2.8B (2023-10-27 to 2024-02-29)Feb 29, 2024 · RAUM change · derived
- Colleen Marie Denzler left Smith Capital Investors, Llc for Loomis, Sayles & Company, L.P. (registered 2022-10-04)Apr 19, 2022 · Advisor changed firm · fact
- Smith Capital Investors, Llc reported RAUM $2.7B, up 48% from $1.8B (2021-04-26 to 2022-03-03)Mar 3, 2022 · RAUM change · derived
- Smith Capital Investors, Llc reported RAUM $1.8B, up 229% from $552.0M (2020-07-15 to 2021-03-19)Mar 19, 2021 · RAUM change · derived
- Smith Capital Investors, Llc filed its initial SEC registration (Form ADV)Apr 6, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/smith-capital-investorsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SMITHCAPITALINVESTORS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 303-597-5555reportedpublic record, Form ADV, Feb 27, 2026
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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $3.3Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026