M. J. Smith And Associates is a large advisory firm based in Greenwood Village. It manages $661.7 million of regulatory assets for 1,545 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of Arizona, California, Colorado, and 4 other states.
M. J. Smith And Associates provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, publication of newsletters, and educational seminars and workshops. It prepares financial plans for more than 250 clients. On top of advisory services, the firm also engages as annuities and long term care insurance.
The assets under management (AUM) of M. J. Smith And Associates is $661.7 million. The firm's AUM has grown by 50% since the beginning of its operation, and $3.7 million of the total AUM is attributable to clients outside of the United States.
The advisory firm has several streams of revenue. Clients pay M. J. Smith And Associates for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Commissions are paid and earned by the adviser when a trade or a sales of an investment is made. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
The firm provides services to individuals, high net worth individuals, and pension and profit sharing plans. The largest group of clients of M. J. Smith And Associates is individuals with 194 clients and $543.3 million of assets under management. Among the 12 most similar advisory firms, M. J. Smith And Associates has the highest percentage of individuals out of all clients.
The amount of regulatory assets under management is $661.7 million for 485 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.
M. J. Smith And Associates doesn't advise any private funds.
The company employs 8 people that are either part- or full-time employees. 88 percent of the employees work as investment advisers or researchers. 6 employees are registered as investment adviser representatives with the state securities authorities.
There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.
The principal office where M. J. Smith And Associates performs its advisory services is located at 5613 Dtc Parkway, Greenwood Village, CO 80111, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 303-768-0007 or by fax 303-768-0008. The normal business hours are 8 a.m. to 5 p.m. on Monday - Friday. You can find more information about the New York firm at mj-smith.com.