SML Capital LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
SML Capital LLC provides asset management and portfolio management services primarily for individual clients, managing about $28 million on behalf of roughly 56 client accounts. The firm operates as a small independent advisory practice with a single primary advisor supported by one additional employee.
The firm charges standard percentage‑of‑AUM management fees and, notably, accepts performance‑based fees for some accounts, meaning a portion of compensation can be tied to investment results. Client relationships are handled through individualized portfolio management rather than through significant ancillary business activities, and the adviser is subject to routine regulatory oversight and supervision.
What sets the firm apart is the principal’s non‑traditional background: a doctoral degree in molecular biology combined with prior roles at large financial firms before founding this advisory practice, an uncommon profile among solo advisers. The brochure discloses no outside business activities or disciplinary history and emphasizes direct asset management as the firm’s core service offering.
Client services
Expertise
Fee options
Performance fee offered; specific amounts or rates not disclosed
Main office
San Diego CA
Advisors at this office
1
Most active in
California
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:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor’s Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and introductions are provided by FinanceHQ LLC (“FHQ”), a wholly-owned subsidiary of Warmer and an SEC-registered investment advisor. We receive compensation from certain participating advisors for introductions or referrals. This creates a conflict of interest because we have an incentive to recommend advisors who compensate us, including those who pay us more. You pay no fee to use our matching service, and advisor fees are not increased because of a referral or introduction. We do not review the ongoing performance of advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to our Terms of Service and Advisory Agreement, and acknowledge our Privacy Policy. Please review FHQ’s ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. (“Warmer”)