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 Moore & Co.
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 25 filings
SEC status approved since Aug 8, 2007
RAUM
$2.4B
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
92%
$2.2B individuals and HNW
Advisors
45
registered through the firm on IAPD
RAUM per advisor
$52.7M
derived; firm RAUM over IAPD count
Employees
65
50 advisory (5.B.1)
Offices
9
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$2.4B as of Mar 31, 2026
Sep 24, 2012$282M then
HNW client RAUM$1.5B as of Mar 31, 2026
Mar 29, 2018$43.6M then
State-registered IARs (5.B.3)50 as of Mar 31, 2026
Sep 24, 20120 then
Employees (5.A)65 as of Mar 31, 2026
Sep 30, 201348 then
Private funds: no history
RAUM +18% over the last fiscal year+18% a year over threeIARs 50 to 50offices 10 to 9
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $52.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $404,389derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 4.5derived10 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.5B63%
- Individuals$689M29%
- Corporations and businesses$117M4.9%
- State and municipal entities$66.8M2.8%
- Pension and profit-sharing plans$8.2M0.3%
- Charitable organizations$6.4M0.3%
- Individual clients
- 2,841reported
- HNW clients
- 1,254reported
- Pension plan clients
- 18reported
- Charitable clients
- 10reported
- Accounts
- 5,865reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $2.2B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=false bd_reps=55.0derived
Advisors registered through the firm
45 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Stewart James DeutschCertified Financial Planner | Clayton, Mo | Apr 7, 2000 | 31 y | 0 |
| Robert Philip Plack | Clayton, Mo | Jul 1, 2002 | 39 y | 0 |
| Douglas Louis Nachman | Chesterfield, Mo | Jul 2, 2002 | 39 y | 0 |
| Thomas Anthony Gonsalves | Chesterfield, Mo | Mar 14, 2006 | 44 y | 0 |
| Kevin John StormCertified Financial Planner | Clayton, Mo | Jun 6, 2006 | 20 y | 0 |
| Carl Wayne Fudge | Columbia, Mo | Feb 20, 2008 | 41 y | 0 |
| Dean Elvin Williams | Clayton, Mo | Jun 18, 2008 | 41 y | 1 |
| Randall Paul Rhyner | Overland Park, Ks | Jun 9, 2009 | 26 y | 1 |
| David Joseph Przybylski | Overland Park, Ks | Jun 30, 2009 | 28 y | 3 |
| Douglas Michael Schultz | Effingham, Il | Jul 31, 2009 | 30 y | 2 |
| Kent Charles SchmidtCertified Financial Planner | Effingham, Il | Aug 10, 2009 | 31 y | 2 |
| Harry Dean Hopkins | Jefferson City, Mo | Jul 13, 2011 | 43 y | 0 |
| Timothy Eugene Schulte | Clayton, Mo | Aug 8, 2014 | 37 y | 0 |
| James Gregory Church | Columbia, Mo | Oct 27, 2014 | 32 y | 0 |
| Gregory Howard Bray | Clayton, Mo | Oct 28, 2015 | 30 y | 1 |
| Kevin Edward Kopff | Overland Park, Ks | Jan 1, 2016 | 10 y | 0 |
| Troy Andrew Van Rie | Kirksville, Mo | Jan 21, 2016 | 34 y | 1 |
| Kipp Alan Noe | Overland Park, Ks | Sep 22, 2016 | 38 y | 1 |
| Donna Lumpkin Zoeller | Clayton, Mo | May 31, 2017 | 20 y | 1 |
| Ian Fine Rothbarth | Clayton, Mo | Mar 15, 2018 | 12 y | 1 |
| Christina Sue Hake | Jefferson City, Mo | Dec 21, 2018 | 25 y | 7 |
| Jaret Dalin Perryman | Clayton, Mo | Jun 25, 2019 | 21 y | 5 |
| Austin Joseph Alejos | Overland Park, Ks | Nov 22, 2019 | 11 y | 0 |
| Mylan James Anderson | Brandon, Ms | Mar 6, 2020 | 18 y | 2 |
| Thomas Hugh Lee | Brandon, Ms | Mar 23, 2020 | 32 y | 6 |
| Aaron J RigdonCertified Financial Planner | Columbia, Mo | Feb 5, 2021 | 17 y | 3 |
| Timothy Harlan Borman | Fulton, Mo | Feb 5, 2021 | 28 y | 2 |
| Matthew Edward BraggCertified Financial Planner | Moberly, Mo | Apr 29, 2021 | 33 y | 4 |
| Alex Cameron Lecure | Jefferson City, Mo | Aug 31, 2021 | 14 y | 1 |
| Kyle Shaw | Clayton, Mo | Apr 25, 2022 | 13 y | 4 |
| Cory Christopher Downer | Clayton, Mo | Jun 10, 2022 | 14 y | 0 |
| Hope L GerdesCertified Financial Planner | Jefferson City, Mo | Jun 13, 2022 | 12 y | 1 |
| Adam Michael Steppe | Effingham, Il | Jun 30, 2022 | 11 y | 0 |
| Mark Norbert Niebrugge | Effingham, Il | Jul 15, 2022 | 16 y | 0 |
| Lauren Elizabeth MeinhartCertified Financial Planner | Effingham, Il | Aug 18, 2022 | 14 y | 0 |
| Blaine A Pestle | Fulton, Mo | May 26, 2023 | 15 y | 0 |
| Amy Lynn Brody | Ballwin, Mo | Sep 22, 2023 | 11 y | 0 |
| Stefanie Lynn Clark | Chesterfield, Mo | Apr 17, 2024 | 10 y | 0 |
| Nathan Michael Schultz | Effingham, Il | Apr 30, 2024 | 10 y | 0 |
| Mason A Barnett | Clayton, Mo | Jul 18, 2024 | 11 y | 0 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 4.4% of current headcount3 left over 36 months
Left, latest
- Thaddaeus Daniel Allen to LPL Enterprise, LLCDec 23, 2025 · Affiliated broker-dealer or bank to another
- Daniel Joseph Allen to LPL Enterprise, LLCDec 23, 2025 · Affiliated broker-dealer or bank to another
- Debra A Meier to Morgan StanleySep 21, 2023 · RIA to wirehouse
- John W. Briscoe to Convergence FinancialSep 27, 2019 · RIA to a newly registered adviser
- Kristin Diane Sullivan to Larson Financial Group, LLCMay 3, 2019 · RIA to RIA
- Gregory Mark Frank to LPL Financial LLCJan 11, 2019 · RIA to RIA
- Maxwell Jared Synon to Commerce Brokerage Services, IncJan 11, 2019 · RIA to RIA
- Daniel Alan Fuhrig to Moneta Group Investment Advisors, LLCNov 21, 2018 · RIA to RIA
- Matthew Douglas Priest to Raymond James Financial Services Advisors, IncSep 13, 2018 · RIA to affiliated broker-dealer or bank
- James Charles Stathis to Raymond James Financial Services Advisors, IncSep 13, 2018 · RIA to affiliated broker-dealer or bank
- Daniel Phillip Feichtner to Oppenheimer & Co. Inc.Nov 30, 2017 · Other
- Derrick Allen Brauner to Moloney Securities Asset Management LLCAug 30, 2017 · Other
- Mark David House to Moloney Securities Asset Management LLCAug 30, 2017 · Other
- Adam James Maher to Moloney Securities Asset Management LLCAug 30, 2017 · Other
- Kevin Michael Carter to Allstate Financial Advisors, LLCMay 31, 2016 · Other
Joined, latest
- Brian Patrick Rongey from Stifel Independent Advisors, LLCSep 1, 2026 · Affiliated broker-dealer or bank to another
- Todd William Barnthouse from Raymond James Financial Services Advisors, IncJan 1, 2025 · Affiliated broker-dealer or bank to another
- Thaddaeus Daniel Allen from Edward JonesAug 12, 2022 · Affiliated broker-dealer or bank to independent RIA
- Hope L Gerdes from Edward JonesJun 13, 2022 · Affiliated broker-dealer or bank to independent RIA
- Kyle Shaw from Stifel, Nicolaus & Company, IncorporatedApr 25, 2022 · Affiliated broker-dealer or bank to independent RIA
- Alex Cameron Lecure from Huntleigh Advisors, Inc.Aug 31, 2021 · Affiliated broker-dealer or bank to independent RIA
- Matthew Edward Bragg from LPL Financial LLCApr 29, 2021 · Affiliated broker-dealer or bank to independent RIA
- Aaron J Rigdon from Cetera Investment Advisers LLCFeb 5, 2021 · Affiliated broker-dealer or bank to independent RIA
- Timothy Harlan Borman from Cetera Investment Advisers LLCFeb 5, 2021 · Affiliated broker-dealer or bank to independent RIA
- Thomas Hugh Lee from Raymond James Financial Services Advisors, IncMar 23, 2020 · Affiliated broker-dealer or bank to independent RIA
- Mylan James Anderson from Raymond James Financial Services Advisors, IncMar 6, 2020 · Affiliated broker-dealer or bank to independent RIA
- Jaret Dalin Perryman from Ssn Advisory, Inc.Jun 25, 2019 · Affiliated broker-dealer or bank to independent RIA
- Christina Sue Hake from Saxony Capital Management, LLCDec 21, 2018 · RIA to RIA
- Ian Fine Rothbarth from Wells Fargo AdvisorsMar 15, 2018 · Other
- Kristin Diane Sullivan from Scottrade Investment ManagementFeb 26, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for LPL Enterprise, LLCDec 23, 2025 · Topeka, Ks
- 2 left for Raymond James Financial Services Advisors, IncSep 13, 2018 · Overland Park, Ks
- 3 left for Moloney Securities Asset Management LLCAug 30, 2017 · Osage Beach, Mo
- 2 joined from Cetera Investment Advisers LLCFeb 5, 2021 · Fulton, Mo
- 3 joined from Raymond James Financial Services Advisors, IncMar 12, 2020 · Flowood, Ms
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Matthew Edward Bragg · Executive Vice President, Secretary, Directorcontrolsince 07/2023 · owns less than 5%
- Amy Lynn Brody · Chief Financial Officer, Finopcontrolsince 03/2017 · owns less than 5%
- Stewart James Jr Deutsch · President, Chief Exective Officer, Directorcontrolsince 01/2003 · owns 10% to 25%
- Christina Sue Hake · Secretary, Directorcontrolsince 08/2022 · owns less than 5%
- Barbara Ann Kraft · Chief Operating Officercontrolsince 08/2022 · owns less than 5%
- Daniel Patrick Moran · Chief Technology Officercontrolsince 07/2024 · owns less than 5%
- Jaret Dalin Perryman · Chief Compliance Officercontrolsince 04/2022 · owns less than 5%
- Randall Paul Rhyner · Executive Vice President, Directorcontrolsince 01/2015 · owns 5% to 10%
- Kent Charles Schmidt · Executive Vice President, Directorcontrolsince 05/2011 · owns 5% to 10%
- Timothy Eugene Schulte · Chairman Of The Board, Directorcontrolsince 01/2010 · owns 10% to 25%
- Julianne Catherine Iwersen-Niemann · Vice Presidentsince 11/2010 · owns 10% to 25%
Related persons
Schedule D 7.A
- Smith Moore & Co.broker-dealerinvestment adviseryRAUM $2.4B
Advisers that list Smith Moore & Co. as a related person
- 3441 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Clayton, Mo · principal | 16 | 1 | 0 | ||
| Effingham, Il | 6 | 0 | 0 | ||
| Fulton, Mo | 5 | 1 | 0 | ||
| Overland Park, Ks | 5 | 0 | 0 | ||
| Jefferson City, Mo | 4 | 0 | 0 | ||
| Brandon, Ms | 3 | 0 | 0 | ||
| Chesterfield, Mo | 3 | 0 | 0 | ||
| Columbia, Mo | 3 | 0 | 0 | ||
| Topeka, Ks | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Effingham, IL6 employees
- Overland Park, KS5 employees
- Jefferson City, MO4 employees
- Columbia, MO4 employees
- Brandon, MS4 employees
- Fulton, MO2 employees
- Kirksville, MO2 employees
- Chesterfield, MO1 employees
- Topeka, KS1 employees
- Moberly, MO1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Mar 31, 2026RAUM per registered advisor of $52,705,331 against a peer median of $19,476,535 (56 comparable advisers, 98.0th percentile, 3.4 robust deviations)peers: affiliated wealth managers, $1B to $5B (56) · 98% percentile
- control person changedChange between filings · filing Mar 31, 2026MORAN, DANIEL PATRICK (CHIEF TECHNOLOGY OFFICER) appeared on Schedule A between the filings of 2024-03-29 and 2026-03-31peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Mar 31, 2026HAKE, CHRISTINA SUE (SECRETARY, DIRECTOR) left Schedule A between the filings of 2024-03-29 and 2026-03-31peers: affiliated wealth managers, $1B to $5B (56)
What changed
consecutive filings, newest first
- Accounts · 5,353 to 5,865Mar 31, 2025 to Mar 31, 2026
- Corporate clients · 19 to 16Mar 31, 2025 to Mar 31, 2026
- HNW clients · 1,243 to 1,254Mar 31, 2025 to Mar 31, 2026
- Individual clients · 2,609 to 2,841Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · 17 to 18Mar 31, 2025 to Mar 31, 2026
- Other offices · 10 to 9Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.9B to $2.1BMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $1.3B to $1.5BMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $568M to $689MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $126M to $266MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $7.8M to $8.2MMar 31, 2025 to Mar 31, 2026
- RAUM · $2.0B to $2.4BMar 31, 2025 to Mar 31, 2026
- Wrap assets (manager) · $2.0B to $2.2BMar 31, 2025 to Mar 31, 2026
- Accounts · 4,988 to 5,353Mar 29, 2024 to Mar 31, 2025
- Corporate clients · 22 to 19Mar 29, 2024 to Mar 31, 2025
- HNW clients · 318 to 1,243Mar 29, 2024 to Mar 31, 2025
- Individual clients · 3,152 to 2,609Mar 29, 2024 to Mar 31, 2025
- Pension plan clients · 18 to 17Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 51-100 to 51-100Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.6B to $1.9BMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $853M to $1.3BMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $694M to $568MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $118M to $126MMar 29, 2024 to Mar 31, 2025
- Pension RAUM · $6.7M to $7.8MMar 29, 2024 to Mar 31, 2025
- RAUM · $1.7B to $2.0BMar 29, 2024 to Mar 31, 2025
- Wrap assets (manager) · $1.7B to $2.0BMar 29, 2024 to Mar 31, 2025
- Accounts · 4,657 to 4,988Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 40 to 50Mar 31, 2023 to Mar 29, 2024
- BD registered reps · 45 to 55Mar 31, 2023 to Mar 29, 2024
- Charity clients · 9 to 10Mar 31, 2023 to Mar 29, 2024
- Corporate clients · 25 to 22Mar 31, 2023 to Mar 29, 2024
- HNW clients · 18 to 318Mar 31, 2023 to Mar 29, 2024
- Individual clients · 4,601 to 3,152Mar 31, 2023 to Mar 29, 2024
- Pension plan clients · 1 to 18Mar 31, 2023 to Mar 29, 2024
- Employees · 55 to 65Mar 31, 2023 to Mar 29, 2024
- State-registered IARs · 40 to 50Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.3B to $1.6BMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $133M to $853MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $1.2B to $694MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $137M to $118MMar 31, 2023 to Mar 29, 2024
Signals
12 dated events
- Daniel Joseph Allen left Smith Moore & Co. for Lpl Enterprise, Llc (registered 2025-12-01)Dec 23, 2025 · Advisor changed firm · fact
- Thaddaeus Daniel Allen left Smith Moore & Co. for Lpl Enterprise, Llc (registered 2025-12-01)Dec 23, 2025 · Advisor changed firm · fact
- 2 advisors left Smith Moore & CO. (Topeka, KS) for LPL Enterprise, LLC on the same dayDec 23, 2025 · Team lift-out · derived
- Smith Moore & Co. reported 50 state-registered advisory representatives, up from 40 (2023-03-31 to 2024-03-29)Mar 29, 2024 · Advisor headcount change · derived
- Matthew Edward Bragg (Executive Vice President, Director) appeared on Schedule A of Smith Moore & Co.Mar 29, 2024 · Control person joined · fact
- Debra A Meier left Smith Moore & Co. for Morgan Stanley (registered 2023-11-09)Sep 21, 2023 · Advisor changed firm · fact
- Barbara Ann Kraft (Chief Operating Officer) appeared on Schedule A of Smith Moore & Co.Oct 31, 2022 · Control person joined · fact
- Christina Sue Hake (Secretary, Director) appeared on Schedule A of Smith Moore & Co.Oct 31, 2022 · Control person joined · fact
- Thomas Anthony Jr Gonsalves (Secretary, Director) no longer on Schedule A of Smith Moore & Co. (listed 2022-04-07, absent 2022-10-31)Oct 31, 2022 · Control person left · inference
- Linda W Sullivan (Chief Compliance Officer) no longer on Schedule A of Smith Moore & Co. (listed 2022-03-31, absent 2022-04-01)Apr 1, 2022 · Control person left · inference
- Jaret Dalin Perryman (Chief Compliance Officer) appeared on Schedule A of Smith Moore & Co.Apr 1, 2022 · Control person joined · fact
- Smith Moore & Co. reported RAUM $960.7M, up 28% from $748.2M (2017-03-31 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Smith Moore & Co · Venture Capitalshared crd · org
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/SMITH-MOORE-&-COMPANYreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SMITHMOORE.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 314-727-5225reportedpublic record, Form ADV, Mar 31, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $52.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026