Smith Capital Management, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm serves individuals (including some high‑net‑worth clients), businesses, and small pension clients, managing approximately $9.5 million on a discretionary basis and providing ongoing portfolio management. Services include written and hourly financial planning covering tax, insurance, retirement, and estate planning, along with discretionary investment management across stocks, bonds, mutual funds, ETFs, government securities, and options.
The advisor tailors recommendations through consultations that consider employment status, cash reserves, retirement account values, age and anticipated retirement date, other income sources, and individual risk tolerance, and then monitors and adjusts client portfolios. Investment methods combine fundamental and technical analysis and may employ options strategies, leveraged or inverse ETFs for hedging or tactical purposes, and third‑party managers when accessing alternative investments.
A distinctive feature is the firm’s advisory and fiduciary work for company retirement‑plan sponsors, an offering that is relatively uncommon among similar independent firms, supported by retirement‑plan and fiduciary credentials (CRPS, AIF, ChFC) held by the principal. The firm discloses it does not accept securities commissions (it does sell fixed insurance products for commissions), does not vote client securities, and recommends a specific custodian for brokerage and custody.
Client services
Expertise
Fee options
$0+: Negotiable, ranging from 0.5% to 2% annually for managed money accounts $0+: Negotiable, ranging from 0.25% to 1% annually for 401(k) plan sponsor advisory accounts
Up to $150/hour for financial planning consultations
Fee-only: Negotiable hourly fee up to $150/hour for financial planning consultations; written financial planning fees range from $200 to $2,000 depending on complexity
Main office
Loveland OH
Advisors at this office
1
Most active in
Ohio
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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