Thomas Smith And Associates, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$11,536,163
Total clients
5
100% high-net worth
Total advisors
2
of 2 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
3
Average account size
$2,307,233
About
Thomas Smith and Associates, Inc. provides discretionary investment advisory services to high‑net‑worth individuals and trusts, managing fully diversified portfolios primarily made up of individual equities, exchange‑traded funds, and cash. The firm reports approximately $11.5 million in assets under management across five client accounts and is staffed by two investment professionals.
Portfolios are constructed using strategic and tactical asset allocation with an emphasis on tax and cost efficiency, and client objectives and any imposed investment restrictions are used to tailor portfolios. The firm states it continuously monitors capital market conditions and client circumstances and performs internal account reviews on a weekly basis to implement portfolio adjustments.
Notably, the firm does not serve non‑high‑net‑worth individual clients, a client mix that is uncommon among supported firms and reflects a concentration on larger, longer‑term accounts. Other operational practices that distinguish the firm include a required relationship with a recommended broker‑dealer (Charles Schwab), trades placed separately in individual client accounts rather than aggregated, proxy voting left to clients, and the provision of annual performance and holdings reports for the year‑end period.
Client services
Expertise
Fee options
1.00% annually
Account minimum: $250,000
Main office location
Thomas Smith And Associates, Inc.
Greenville SC, United States
Number of offices
2
Most active in
North Carolina · South Carolina
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:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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