Thomas Smith is a CFA-designated registered investment advisor at Thomas Smith and Associates, INC., based in Greenville, SC, with 14 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include High Net Worth, Investment Management. Their firm serves 5 clients with $10M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.00% |
Fee is negotiable.
Fee Estimator
Location
Greenville, SC
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Thomas is listed as an inactive real estate agent with Carolina Real Estate Inc. He states that he acts as his own agent only when buying or selling a home for himself.
Employment History
Current Registrations
Thomas Smith and Associates, INC.
Previous Registrations
Ellington Smith, LLC
State Registrations1 state
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.