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SMA CAPITAL LLC

NEW YORK, NY · CRD 335168 · IAPD ↗ · smacap.com · (860) 839-0074

$553.5MRegulatory AUM
7Advisory reps
9Employees
0Clients
n/aPlanning clients
0Private funds
4States
0Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

43
April 2026 — SMA CAPITAL LLC added office(s): 2 -> 3 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
38
December 2025 — SMA CAPITAL LLC moved its main office from STAMFORD, CT to NEW YORK, NY.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
60
December 2025 — SMA CAPITAL LLC crossed $500M in regulatory AUM ($314.4M -> $518.0M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
39
August 2025 — SMA CAPITAL LLC notice-filed in HI, IL, NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
43
August 2025 — SMA CAPITAL LLC added office(s): 1 -> 3 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
61
August 2025 — SMA CAPITAL LLC grew from 4 to 7 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
85
April 2025 — SMA CAPITAL LLC (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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