SMITH, MOORE & COMPANY .

HTTPS://WWW.LINKEDIN.COM/COMPANY/SMITH-MOORE-&-COMPANY/ CLAYTON, MO Investment Advisor How do I update this listing?

Smith, Moore & Company . is based out of Clayton. Smith, Moore & Company . is a large advisory firm with 3217 clients and discretionary assets under management (AUM) of $940,253,956 (Form ADV from 2020-03-31). Their last reported 13F filing for Q1 2020 included $379,235,000 in managed 13F securities and a top 10 holdings concentration of 34.1%. Smith, Moore & Company .'s largest holding is VANGUARD TOTAL STOCK MARKET INDEX FUND-ETF Shares with shares held of 187,829. Smith, Moore & Company . has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 27 13F filings The firm last filed a Form D notice of exempt offering of securities on 2015-05-07. The notice included securities offered of Equity

Subscription Required

Equal-WT
WhaleScore 2.0

?

83

S&P 500
WhaleScore

?

Subscription Required

Original
WhaleScore

?
Download 13F Summary to Excel Create Email Alert

03/31/2020

13F Sector Allocation Over Time

03/31/2020

13F Activity

  • Market Value $379.235 Million
  • Prior Market Value $481.651 Million
  • New Purchases21 stocks
  • Additional Purchases143 stocks
  • Sold out of40 stocks
  • Reduced holdings in113 stocks
  • Top 10 Holdings % 34.10 %
  • Turnover % [1]:20.47%
  • Turnover Alt % [2]: 7.33 %
  • Time Held Top20:10.15 quarters
  • Time Held Top10:12.30 quarters
  • Time Held All:10.60 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: -14.44%
Performance Last 4 Quarters: -4.51%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

Refresh Advanced Export Download CSV Download Excel (.xlsx) Download TSV
Filter by:

Security Types:

Refresh
*Shares are split adjusted

View Last Form Adv Compilation Report on Record

SMITH MOORE & CO.
7777 BONHOMME AVENUE SUITE 2400
CLAYTON MO    63105
Country: United States

Business Phone: 314-727-5225
Fax: 314-436-9986
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: MO
Number of employees: 43
Other Business Activities: broker-dealer,insurance broker or agent
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 3217
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.E (2),11.E (4)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

Sign in to see

Form 4 - Recent Insider Transactions

Loading...

Form D Filings

Form D is a form to be used to file a notice of an exempt offering of securities with the Securities and Exchange Commission. Form D contains basic information about the offering and the company.

Form D Filings
Filing Date Form Type Industry Group Securities Offered Total Offering Amount Total Amount Sold Total Remaining
2015-05-07 D OTHER BANKING AND FINANCIAL SERVICES Equity 341,035 341,035 0
2012-06-07 D OTHER BANKING AND FINANCIAL SERVICES Equity 119,084 89,313 29,771
2011-03-11 D OTHER BANKING AND FINANCIAL SERVICES Equity 1,143,106 1,143,106 0
2009-09-22 D OTHER BANKING AND FINANCIAL SERVICES Equity 348,706 0 348,706
2009-06-24 D OTHER BANKING AND FINANCIAL SERVICES Equity 564,596 0 564,596
Other Issuers in Filings
Name Address
SMITH, MOORE CO. 7777 BONHOMME AVE., SUITE 2400
ST. LOUIS, MO 63105
SMITH, MOORE CO. 7777 BONHOMME AVE., SUITE 2400

ST. LOUIS, MO 63105
Related Parties included in filings
Name Address Relationship
DONNA B. FREDERICK subscription required
    EXECUTIVE OFFICER DIRECTOR
HARRY HILL LANGENBERG subscription required
    DIRECTOR
JULI NIEMANN subscription required
    DIRECTOR
KENT SCHMIDT subscription required
    DIRECTOR
PHILIP H. PLACK subscription required
    EXECUTIVE OFFICER DIRECTOR
RANDY RHYNER subscription required
    DIRECTOR
ROBERT P. PLACK subscription required
    EXECUTIVE OFFICER DIRECTOR
STEWART J. DEUTSCH subscription required
    EXECUTIVE OFFICER DIRECTOR
THOMAS A. GONSALVES subscription required
    EXECUTIVE OFFICER DIRECTOR
TIMOTHY E. SCHULTE subscription required
    EXECUTIVE OFFICER DIRECTOR

SMITH MOORE & CO.

ownership team - last updated 2020-03-31
Name Title Start Date Direct/Indirect % Ownership

SMITH MOORE & CO.

ownership team - last updated 2019-10-28
Name Title Start Date Direct/Indirect % Ownership
SCHULTE, TIMOTHY EUGENE CHAIRMAN OF THE BOARD, DIRECTOR 01/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. SROP, CROP, SENIOR VP direct 1999-03-01
SMITH MOORE & CO. SENIOR VP, DIRECTOR & CHAIRMAN direct 1999-03-01
SMITH MOORE & CO. CHAIRMAN OF THE BOARD, DIRECTOR direct 2010-01-01
DEUTSCH, STEWART JAMES JR PRESIDENT, CHIEF EXECTIVE OFFICER, DIRECTOR 01/01/2003 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. PRESIDENT & CEO direct 2003-01-01
SMITH MOORE & CO. PRESIDENT, CHIEF EXECTIVE OFFICER, DIRECTOR direct 2003-01-01
GONSALVES, THOMAS ANTHONY JR SECRETARY, DIRECTOR 08/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. CHIEF OPERATING OFFICER, SECRETARY, CHIEF COMPLIANCE OFFICER direct 2003-01-01
SMITH MOORE & CO. CHIEF OPERATING OFFICER, SECRETARY, CHIEF COMPLIANCE OFFICER direct 2003-01-01
SMITH MOORE & CO. SECRETARY, DIRECTOR direct 2010-08-01
IWERSEN-NIEMANN, JULIANNE CATHERINE VICE PRESIDENT 11/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. VICE PRESIDENT direct 2010-11-01
SULLIVAN, LINDA W CHIEF COMPLIANCE OFFICER 05/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. CHIEF COMPLIANCE OFFICER direct 2011-05-01
SCHMIDT, KENT CHARLES EXECUTIVE VICE PRESIDENT, DIRECTOR 05/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. EXECUTIVE VICE PRESIDENT, DIRECTOR direct 2011-05-01
RHYNER, RANDALL PAUL EXECUTIVE VICE PRESIDENT, DIRECTOR 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. EXECUTIVE VICE PRESIDENT, DIRECTOR direct 2015-01-01
TOGNOZZI, AMY LYNN CHIEF FINANCIAL OFFICER, FINOP 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. CHIEF FINANCIAL OFFICER, FINOP direct 2017-03-01

SMITH MOORE & CO.

ownership team - last updated 2019-04-03
Name Title Start Date Direct/Indirect % Ownership
SCHULTE, TIMOTHY EUGENE CHAIRMAN OF THE BOARD, DIRECTOR 01/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. SROP, CROP, SENIOR VP direct 1999-03-01
SMITH MOORE & CO. SENIOR VP, DIRECTOR & CHAIRMAN direct 1999-03-01
SMITH MOORE & CO. CHAIRMAN OF THE BOARD, DIRECTOR direct 2010-01-01
DEUTSCH, STEWART JAMES JR PRESIDENT, CHIEF EXECTIVE OFFICER, DIRECTOR 01/01/2003 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. PRESIDENT & CEO direct 2003-01-01
SMITH MOORE & CO. PRESIDENT, CHIEF EXECTIVE OFFICER, DIRECTOR direct 2003-01-01
GONSALVES, THOMAS ANTHONY JR SECRETARY, DIRECTOR 08/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. CHIEF OPERATING OFFICER, SECRETARY, CHIEF COMPLIANCE OFFICER direct 2003-01-01
SMITH MOORE & CO. CHIEF OPERATING OFFICER, SECRETARY, CHIEF COMPLIANCE OFFICER direct 2003-01-01
SMITH MOORE & CO. SECRETARY, DIRECTOR direct 2010-08-01
IWERSEN-NIEMANN, JULIANNE CATHERINE VICE PRESIDENT 11/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. VICE PRESIDENT direct 2010-11-01
SULLIVAN, LINDA W CHIEF COMPLIANCE OFFICER 05/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. CHIEF COMPLIANCE OFFICER direct 2011-05-01
SCHMIDT, KENT CHARLES EXECUTIVE VICE PRESIDENT, DIRECTOR 05/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. EXECUTIVE VICE PRESIDENT, DIRECTOR direct 2011-05-01
RHYNER, RANDALL PAUL EXECUTIVE VICE PRESIDENT, DIRECTOR 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. EXECUTIVE VICE PRESIDENT, DIRECTOR direct 2015-01-01
TOGNOZZI, AMY LYNN CHIEF FINANCIAL OFFICER, FINOP 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. CHIEF FINANCIAL OFFICER, FINOP direct 2017-03-01

SMITH MOORE & CO.

ownership team - last updated 2017-03-31
Name Title Start Date Direct/Indirect % Ownership
SCHULTE, TIMOTHY EUGENE CHAIRMAN OF THE BOARD, DIRECTOR 01/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. SROP, CROP, SENIOR VP direct 1999-03-01
SMITH MOORE & CO. SENIOR VP, DIRECTOR & CHAIRMAN direct 1999-03-01
SMITH MOORE & CO. CHAIRMAN OF THE BOARD, DIRECTOR direct 2010-01-01
DEUTSCH, STEWART JAMES JR PRESIDENT, CHIEF EXECTIVE OFFICER, DIRECTOR 01/01/2003 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. PRESIDENT & CEO direct 2003-01-01
SMITH MOORE & CO. PRESIDENT, CHIEF EXECTIVE OFFICER, DIRECTOR direct 2003-01-01
GONSALVES, THOMAS ANTHONY JR SECRETARY, DIRECTOR 08/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. CHIEF OPERATING OFFICER, SECRETARY, CHIEF COMPLIANCE OFFICER direct 2003-01-01
SMITH MOORE & CO. CHIEF OPERATING OFFICER, SECRETARY, CHIEF COMPLIANCE OFFICER direct 2003-01-01
SMITH MOORE & CO. SECRETARY, DIRECTOR direct 2010-08-01
IWERSEN-NIEMANN, JULIANNE CATHERINE VICE PRESIDENT 11/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. VICE PRESIDENT direct 2010-11-01
GOLDEN, GREGORY WARREN VICE PRESIDENT 03/01/2011 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. VICE PRESIDENT direct 2011-03-01
SULLIVAN, LINDA W CHIEF COMPLIANCE OFFICER 05/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. CHIEF COMPLIANCE OFFICER direct 2011-05-01
SCHMIDT, KENT CHARLES EXECUTIVE VICE PRESIDENT, DIRECTOR 05/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. EXECUTIVE VICE PRESIDENT, DIRECTOR direct 2011-05-01
RHYNER, RANDALL PAUL EXECUTIVE VICE PRESIDENT, DIRECTOR 01/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. EXECUTIVE VICE PRESIDENT, DIRECTOR direct 2015-01-01
TOGNOZZI, AMY LYNN CHIEF FINANCIAL OFFICER, FINOP 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH MOORE & CO. CHIEF FINANCIAL OFFICER, FINOP direct 2017-03-01

WhaleScore history for SMITH, MOORE & COMPANY .

You must have a subscription to view WhaleScore histories

**EXPERIMENTAL** Current UK Positions

Updated daily

Contains transactions from January 1st, 2015 on.

Holder Issuer Transaction Date Number of Voting Rights % of Voting Rights
SMITH, MOORE & COMPANY . Cairn Homes plc 2015-10-21 18,345,000 3.9%

Position History

Holder Issuer Transaction Date Number of Voting Rights % of Voting Rights

Elevate your investments