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SMITH GROUP ASSET MANAGEMENT

DALLAS, TX · CRD 106301 · IAPD ↗ · 214-880-4600

$182.2MRegulatory AUM
10Advisory reps
13Employees
0Clients
n/aPlanning clients
0Private funds
3States
0Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

50
August 2026 — SMITH GROUP ASSET MANAGEMENT (DALLAS, TX) left the SEC roster (was $182.2M RAUM, 10 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
52
April 2026 — SMITH GROUP ASSET MANAGEMENT reported RAUM up 36% ($133.7M -> $182.2M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
32
April 2025 — SMITH GROUP ASSET MANAGEMENT notice-filed in NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
57
April 2025 — SMITH GROUP ASSET MANAGEMENT grew from 8 to 10 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
51
April 2024 — SMITH GROUP ASSET MANAGEMENT reported RAUM up 33% ($91.6M -> $121.6M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.