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 & Co Advisory LLC
Latest filing May 5, 2026
First filing on the tape Sep 3, 2024 · 10 filings
SEC status approved since Oct 9, 2024
RAUM
$118M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
97%
$115M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$118M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$118M as of May 5, 2026
Feb 3, 2025$0 then
HNW client RAUM$95.7M as of May 5, 2026
May 1, 2025$74.6M then
State-registered IARs (5.B.3)1 as of May 5, 2026
Feb 3, 20253 then
Employees (5.A)2 as of May 5, 2026
Feb 3, 20253 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 1offices 1 to 0
Practice profile
derived from the filing of May 5, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $118MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 206derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $357,885derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$95.7M81%
- Individuals$19.7M17%
- Pension and profit-sharing plans$3.0M2.5%
- Individual clients
- 162reported
- HNW clients
- 44reported
- Pension plan clients
- 4reported
- Charitable clients
- 0reported
- Accounts
- 331reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ray Bradley Smith · Partner & Chief Compliance Officercontrolsince 05/2017 · owns 25% to 50%
- Patrick Benjamin Wynd · Partnercontrolsince 05/2017 · owns 25% to 50%
- Cullen Robert Ashworth · Trusteecontrolsince 09/2024 · owns F of The Brad Smith Tist
- Ann Laurie Smith · Trusteecontrolsince 09/2024 · owns F of The Brad Smith Tist
- Lynne Rebecca Wynd · Trusteecontrolsince 10/2024 · owns F of Southern Capital Tist
Entity owners
- Southern Capital Tist · Memberdirect · owns 25% to 50%
- The Brad Smith Tist · Memberdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Spring Hill, Tn · principal | 1 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Spring Hill, TN3 employees
What changed
consecutive filings, newest first
- Advisory employees · 2 to 1Mar 18, 2026 to May 5, 2026
- State-registered IARs · 2 to 1Mar 18, 2026 to May 5, 2026
- Accounts · 394 to 331Dec 4, 2025 to Mar 18, 2026
- Charity clients · 1 to 0Dec 4, 2025 to Mar 18, 2026
- HNW clients · 33 to 44Dec 4, 2025 to Mar 18, 2026
- Individual clients · 97 to 162Dec 4, 2025 to Mar 18, 2026
- Pension plan clients · 163 to 4Dec 4, 2025 to Mar 18, 2026
- Financial planning clients · 0 to 51-100Dec 4, 2025 to Mar 18, 2026
- Discretionary RAUM · $112M to $115MDec 4, 2025 to Mar 18, 2026
- HNW RAUM · $74.6M to $95.7MDec 4, 2025 to Mar 18, 2026
- Individual RAUM · $31.5M to $19.7MDec 4, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $16.9M to $3.0MDec 4, 2025 to Mar 18, 2026
- Pension RAUM · $22.7M to $3.0MDec 4, 2025 to Mar 18, 2026
- RAUM · $129M to $118MDec 4, 2025 to Mar 18, 2026
- Advisory activities · 3 to 4May 1, 2025 to Dec 4, 2025
- Business name · SMITH WYND CAPITAL LLC to SMITH & CO ADVISORY LLCMay 1, 2025 to Dec 4, 2025
- Insurance-licensed employees · 0 to 1May 1, 2025 to Dec 4, 2025
- HQ city · FRANKLIN to SPRING HILLMay 1, 2025 to Dec 4, 2025
- Legal name · SMITH WYND CAPITAL LLC to SMITH & CO ADVISORY LLCMay 1, 2025 to Dec 4, 2025
- Other offices · 1 to 0May 1, 2025 to Dec 4, 2025
- Related insurance company · false to trueMay 1, 2025 to Dec 4, 2025
- Accounts · 0 to 394Feb 3, 2025 to May 1, 2025
- Advisory employees · 3 to 2Feb 3, 2025 to May 1, 2025
- Charity clients · unset to 1.0Feb 3, 2025 to May 1, 2025
- Corporate clients · unset to 0.0Feb 3, 2025 to May 1, 2025
- HNW clients · unset to 33.0Feb 3, 2025 to May 1, 2025
- Individual clients · unset to 97.0Feb 3, 2025 to May 1, 2025
- Pension plan clients · unset to 163.0Feb 3, 2025 to May 1, 2025
- Pooled vehicle clients · unset to 0.0Feb 3, 2025 to May 1, 2025
- Employees · 3 to 2Feb 3, 2025 to May 1, 2025
- Financial planning clients · 0 to 0Feb 3, 2025 to May 1, 2025
- State-registered IARs · 3 to 2Feb 3, 2025 to May 1, 2025
- Discretionary RAUM · $0 to $112MFeb 3, 2025 to May 1, 2025
- HNW RAUM · unset to 74600076.0Feb 3, 2025 to May 1, 2025
- Individual RAUM · unset to 31549408.0Feb 3, 2025 to May 1, 2025
- Non-discretionary RAUM · $0 to $16.9MFeb 3, 2025 to May 1, 2025
- Pension RAUM · unset to 22666214.0Feb 3, 2025 to May 1, 2025
- Pooled vehicle RAUM · unset to 0.0Feb 3, 2025 to May 1, 2025
- RAUM · $0 to $129MFeb 3, 2025 to May 1, 2025
- Advisory employees · 2 to 3Dec 9, 2024 to Dec 13, 2024
Signals
5 dated events
- Benjamin Patrick Wynd no longer registered at Smith & Co Advisory Llc; no later IA registration on IAPDDec 5, 2025 · Advisor departure · fact
- C Robert Ashworth (Trustee) appeared on Schedule A of Smith & Co Advisory LlcOct 9, 2024 · Control person joined · fact
- A Laurie Smith (Trustee) appeared on Schedule A of Smith & Co Advisory LlcOct 9, 2024 · Control person joined · fact
- L Rebecca Wynd (Trustee) appeared on Schedule A of Smith & Co Advisory LlcOct 9, 2024 · Control person joined · fact
- Smith Wynd Capital Llc filed its initial SEC registration (Form ADV)Sep 3, 2024 · 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
- Business email
- brad@smithcoadvisory.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- hannah@smithcoadvisory.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jessica@smithcoadvisory.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- matthew@smithcoadvisory.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- trista@smithcoadvisory.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 615-682-4383reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- smithcoadvisory.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (615) 682-4383reportedpublic record, Form ADV, May 5, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $118Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026