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SMITH AFFILIATED CAPITAL CORP.
Legal name: SMITH AFFILIATED CAPITAL CORP
CRD 107675File 801-17037
APPROVED
Retail clients
Filing as of Mar 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.68B
Top 25% of cohort (national)
Discretionary AUM
$852.5M
Non-discretionary $829.6M
Clients
185
197 accounts
Employees
10
Above cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Apr 1, 1982
- Principal office
- 45 BROADWAY, SUITE 210, NEW YORK, NY, 10006
- Phone
- 212-644-9440
- Website
- HTTP://WWW.SMITHCAPITAL.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.68B
- Discretionary AUM
- $852.5M
- Non-discretionary AUM
- $829.6M
- Discretionary accounts
- 195
- Non-discretionary accounts
- 2
- Total accounts
- 197
- AUM per client
- $9.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 17 | $1.04B |
| Charitable organizations | Fewer than 5 | $1.2M |
| Other investment advisers | 81 | $44.3M |
| High net worth individuals | 21 | $252.0M |
| Pension and profit sharing plans | 6 | $73.1M |
| State or municipal government entities | Fewer than 5 | $23.7M |
| Individuals (other than high net worth individuals) | 60 | $116.4M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 195 | 185 | decreased by10 |
| Apr 1, 2026 | Clients | 124 | 195 | increased by71 |
| Apr 1, 2026 | AUM | $1,744,635,439 | $1,682,144,950 | decreased by$62,490,489 |
| Apr 1, 2026 | Accounts | 124 | 197 | increased by73 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 12 | 10 | decreased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 150 | 124 | decreased by26 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $2,055,941,822 | $1,744,635,439 | decreased by$311,306,383 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 150 | 124 | decreased by26 |
| Apr 1, 2022 | Employees | 14 | 12 | decreased by2 |
| Apr 1, 2022 | AUM | $2,395,709,538 | $2,055,941,822 | decreased by$339,767,716 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SMITH AFFILIATED” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SMITH AFFILIATED” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.