Clients may seek our services forongoing asset management ofpersonal accounts, retirement or savings plans, employer sponsored programs and corporate assets.

Personal Accounts

  • Clients may seek the guidance our firm to provide them with ongoing investment portfolio and asset management.
  • Assets include those with single or joint ownership as well as custodian or Trust accounts.

401(k) and Retirement Accounts

  • Clients may choose to receive ongoing asset management for their savings or retirement plans.  Assets include those in 401(k)s, 403(b)s, or other employer sponsored plans in addition to contributory IRAs, IRA rollover accounts, and Roth IRAs. 
  • If you have clients are retiring or have a retirement plan at a former employer, we can review the investment choices available for those assets and help you establish and transfer those funds to IRA rollover accounts.
  • We can also help you establishIRA and Roth IRA accounts, and offer ongoing asset management for those investments.
  •  Self-employed clients could benefit from our assistance In setting up, funding, and managing SEP-IRAs and individual 401(k) accounts.

Corporate Assets

  • We provide corporate asset management based on our clients' investment goals, income needs, time horizon and risk tolerance.


Clients looking for a reliable and objective investment advisor may engage Smith Asset Management to review their personal investment portfolios, 401(k)s and 403(b)s, counsel on special projects, supply a fresh viewpoint, or provide a valuable second opinion on existing portfolios.

We confer with each client to establish their investment profile, examine that client's holdings, and offer asset allocation and security selection guidance from a seasoned independent investment advisor.

Annual fees for Investment Advisory Services are based on assets under management and are calculated using the following schedule:

  • Fixed Income and Cash Equivalents 1/4 of 1% of their market value
  • Equities 3/4 of 1% of their market value

Fees for investment consulting services are based on our hourly rate in effect.