Smithbrook, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Smithbrook primarily serves high‑net‑worth and other individual clients as well as trusts, estates, business entities, and charitable organizations, typically working with accredited investors and clients who meet a multi‑million dollar account minimum. The firm offers discretionary and non‑discretionary portfolio management, development of written investment policy statements, aggregation and consolidated reporting, and due diligence and coordination when allocating to third‑party sub‑advisers.
The firm’s investment process is individualized and policy‑driven, using qualitative analysis and quantitative modeling to set asset allocation and monitor portfolios over time. For certain accounts Smithbrook combines directly indexed equity sleeves with options and other derivative positions—and may use margin and tax‑sensitive techniques—to manage risk and portfolio characteristics, an approach that can involve higher trading activity and volatility.
What is noteworthy about Smithbrook compared with many peers is the explicit use of derivatives and options inside separately managed accounts, a practice that is relatively uncommon among supported firms. The firm also manages a small, concentrated client roster relative to its assets under management and generally limits clients to accredited investors with a $3 million minimum (subject to waiver), supporting customized solutions and standalone consolidated reporting engagements.
Client services
Expertise
Fee options
Fixed project fees typically $1,000 to $2,500 or more for Consolidated Reporting Services
$0 - $3,000,000: 0.95% $3,000,001 - $6,000,000: 0.75% $6,000,001+: 0.55%
Typically $250/hour for Consolidated Reporting Services
Account minimum: $3,000,000 Minimum fee: $28,500 minimum annual fee, billed quarterly in arrears, negotiable at adviser's discretion
Main office
Bend OR
Advisors at this office
3
Most active in
New York · Oregon · Washington
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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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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
Quick links
Advisors at this firm
Scott B
Series 66
Bend, OR
Smithbrook, LLC
Scott Butterfield is a financial advisor at Smithbrook, LLC with 24 years of industry experience. He holds the Series 66 designation and has previously worked at LNW Wealth Management, Laird Norton Wealth Management, and Filament, LLC. Smithbrook provides discretionary and non-discretionary investment management primarily to high-net-worth individuals, trusts, estates, business entities, and charitable organizations, typically requiring multi-million dollar relationships. The firm employs customized investment policy statements and a directly indexed equity approach with options overlays, futures, and tax-sensitive execution techniques, focusing on a concentrated client program for bespoke service.
Jerry P
CFA®, Series 63, Series 66
Bend, OR
Smithbrook, LLC
Jerry Peters is a CFA® charterholder with 20 years of industry experience. He has worked at Smithbrook, LLC since 2021, following prior roles at Laird Norton Wealth Management and Filament, LLC. Smithbrook provides discretionary and non-discretionary investment management primarily to high-net-worth individuals, trusts, estates, business entities, and charitable organizations, typically requiring multi-million dollar relationships. The firm offers customized investment policy statements and employs a directly indexed equity approach with an options overlay, incorporating derivatives and tax-sensitive execution techniques in its portfolio management.
Michael O
Series 63, Series 65
Bend, OR
Smithbrook, LLC
Michael O'Hara is a financial advisor with Smithbrook, LLC in Bend, OR, holding Series 63 and Series 65 licenses and having three years of industry experience. He has previously worked at Long Pond Capital, LP and StreetLinx Inc. Additionally, O'Hara is the founder of Kaizure, a consulting business providing advisory services related to trading operations, fintech solutions, and personnel recruiting for hedge funds and family investment offices. Smithbrook primarily serves high-net-worth individuals, trusts, estates, business entities, and charitable organizations, typically working with accredited investors. The firm employs an individualized, policy-driven investment process that incorporates derivatives and options within separately managed accounts, offering customized portfolio solutions with an emphasis on risk management and tax-sensitive strategies.
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