Smc Capital Inc/Ky/ (Louisville)

Smc Capital Inc/Ky/ is an adviser based in Louisville. It manages $15.42 million of regulatory assets for 8 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Indiana and Kentucky.

Smc Capital Inc/Ky/ provides portfolio management for individuals and small businesses and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Smc Capital Inc/Ky/: assets under management

The assets under management (AUM) of Smc Capital Inc/Ky/ is $15.42 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -76% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $15.42 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.93 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Smc Capital Inc/Ky/ for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Smc Capital Inc/Ky/

Steven Joseph Giacobbe has been acting as President since 1 Feb 2007. Tina Wring Covington joined the executive team most recently as the Interim Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Frank Thomas Kiley	Executive vp & cfo	1 May 1993	Other	806703
Darrell Richard Wells	Chairman, ceo & president	1 May 1993	Other	806704
Inc. Commonwealth Bancshares	Bank holding company	1 Feb 2001	75% - 100%	61-1187135
Michael E Dugle	Director, secretary	1 Jul 2005	Other	5318300
James Rucker	Director	1 Jul 2005	Other	5318301
Tina Wring Covington	Interim chief compliance officer	1 Jan 2007	Other	5287320
Steven Joseph Giacobbe	Director	1 Feb 2007	Other	2761892

Based in Louisville

The principal office where Smc Capital Inc/Ky/ performs its advisory services is located at 4350 Brownsboro Rd, Louisville, KY 40207, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.