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Sanders Smith Limited

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Client assets under management

$0

Clients

40

0% high-net worth

Advisors

2

of 3 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

More info

Clients per advisor

20

Low

Average account size

$0

About

Sanders Smith Limited provides financial planning and related advisory services to a small client base that includes individuals, trusts, companies and pension plans, delivered by two advisory representatives. The firm’s offering centers on financial planning and investment supervision rather than direct portfolio management for client accounts.

It works on a tailored, non‑discretionary basis, developing individualized plans and relying on both fundamental and technical analysis to inform recommendations, with an emphasis on longer‑term mutual fund strategies. Instead of the more common asset‑based billing model, Sanders Smith structures engagements around planning fees and consultative arrangements and does not itself offer percentage‑of‑AUM portfolio management for individual accounts.

What is distinctive about the firm is its industry cross‑registration and affiliations: its advisory representatives are also registered representatives of Osaic Wealth, Inc., and maintain insurance appointments, enabling the sale of commissionable securities and insurance products and access to third‑party managed programs through that broker‑dealer. That dual registration and the firm’s affiliation with other investment‑adviser and insurance providers, combined with a small, planning‑focused practice that avoids in‑house discretionary management, sets it apart from many peers.

Client services

Financial planning

Expertise

General estate planning guidance

Fee options

Fixed

Fixed fees to be negotiated and agreed upon prior to contract implementation

Commissions

Commissions may be charged if clients purchase securities or insurance products through Osaic Wealth, Inc., a separate broker-dealer with which advisory representatives are also registered

Project-based

$250.00 per hour for financial planning and investment advisory services

Other

Fee-only: $250.00 per hour for financial planning and investment advisory services; fixed fees to be negotiated and agreed upon prior to contract implementation

Main office location

Sanders Smith Limited

120 White Plains Rd Suite 100

Tarrytown NY 10591, United States

Number of offices

1

Most active in

More info

New York

Disclosures

More info

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

More info

Forms ADV

Form ADV Part 2: Client Brochure

Quick links

914-524-9800

Advisors at this firm

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Paul S

Series 63, Series 66

Tarrytown, NY

Sanders Smith Limited

Paul Smith is a financial advisor with Sanders Smith Limited, holding Series 63 and Series 66 licenses and bringing 40 years of industry experience. He has been with Sanders Smith Limited since 2005 and also associated with Osaic Wealth, Inc. since 2006. In addition to his advisory roles, he is a registered representative involved in the sale of commission-based securities products and insurance. Sanders Smith Limited provides financial planning and investment supervisory services to individuals, trusts, companies, and pension plans, focusing on client-specific recommendations and ongoing financial counseling. The firm employs both fundamental and technical analysis, commonly recommending long-term mutual fund strategies, and does not exercise discretionary trading authority for advisory clients.

General estate planning guidance
user avatar

Steven S

Series 63, Series 66

Tarrytown, NY

Sanders Smith Limited

Steven Sanders is a financial advisor with Sanders Smith Limited in Tarrytown, NY, holding Series 63 and Series 66 licenses and bringing 37 years of industry experience. He has worked with Osaic Wealth, Inc. (formerly Royal Alliance Associates) since 2006 and has been with Sanders Smith Limited since 1994. Sanders Smith Limited provides financial planning and investment supervisory services to individuals, trusts, companies, and pension plans, focusing on client-specific recommendations and ongoing financial counseling. The firm emphasizes written financial plans addressing assets, liabilities, insurance, and retirement needs, employing both fundamental and technical analysis without exercising discretionary trading authority.

General estate planning guidance
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