Richard Smith
Richard Smith is a registered investment advisor at Smith Thornton Advisors, LLC, based in Huntsville, AL, with 41 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Investment Management, and 1 more. Their firm serves 327 clients with $730M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $100K | 2.50% |
| $100K - $1000K | 2.00% |
| $1.0M - $10.0M | 1.75% |
| $10M+ | 1.50% |
Fees are negotiable. For accounts under $100,000, a fixed fee may be charged instead of a percentage.
Fee Estimator
Location
626 Clinton Avenue West, Suite 100, Huntsville, AL, 35801
Get directionsHistory
Regulatory History (1)
Customer Dispute
November 2010Other Business ActivitiesSells Insurance
Richard is a trustee for The Jane K. Lowe Charitable Foundation, supervising investments and grants, dedicating a few hours per week. He is also a Registered Investment Advisor with Smith Thornton Advisors, LLC, managing portfolios full-time, and sells annuity and life insurance products through PKS Insurance Services, spending a few hours per week.
Employment History
Current Registrations
Smith Thornton Advisors, LLC
Purshe Kaplan Sterling InvestmentsBroker
Previous Registrations
Wells Fargo Advisors Financial Network, LLCBroker
Wells Fargo Advisors Financial Network, LLC
Morgan Keegan & Company, INC.
Morgan Keegan & Company, INC.Broker
Amsouth Investment Services, INC.Broker
State Registrations7 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.