A complete list of active advisors currently associated with SML Advisory

Warmer can help you find a great advisor at SML Advisory or one who fits your needs even better.

SML Advisory provides comprehensive investment management to individuals, high‑net‑worth clients, and business entities, and also offers services to qualified and non‑qualified retirement plans. The firm provides portfolio management (discretionary and non‑discretionary), ERISA plan services including limited‑scope 3(21) fiduciary advice, and qualified plan consulting with documented client objectives and periodic account reporting. The firm’s investment process uses fundamental, technical, and cyclical analysis and documents client goals via an investment policy or risk‑tolerance form, with account reviews at least quarterly. While fees are typically charged as a percentage of assets under management, SML Advisory also offers performance‑based fee arrangements to qualified clients — a 20% performance fee after an 8% hurdle with a high‑water mark, charged quarterly in arrears — and discloses the attendant side‑by‑side management conflicts and mitigation practices. Noteworthy distinctions include the owner’s affiliated life and health insurance practice (about 5–10% of his time), through which insurance products may be offered to clients, and the firm’s uncommon use of performance fees for qualified clients. The brochure also discloses prior administrative discipline and a recent request from the New Mexico Securities Division for enhanced compliance and recordkeeping, matters prospective clients may consider when evaluating the firm.

To learn more about the advisors currently working at SML Advisory, click on their names below to view their profiles, or click here to see them all on a map. Or, if you tell us about your needs, Warmer can help you find the best advisor for you.