THOMAS SMITH AND ASSOCIATES, INC.

THOMAS SMITH AND ASSOCIATES, INC. is an SEC-registered investment adviser (CRD 126810). Regulatory assets under management: $11.5M.

Registration

• CRD: 126810
• Type: Registered investment adviser
• Phone: 704-609-4289
• Latest filing: 2026-03-26
• Regulatory AUM: $11.5M
• Discretionary AUM: $11.5M
• Clients: 2
• Accounts: 5

Business model

Compensation: % of AUM.

Clients served: High net worth.

More on this firm

• Form ADV Part 2 brochure
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• This page as markdown (for LLM agents)
• CRD 126810 on SEC IAPD (source of record)
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