Smith Hayes Advisers Inc (Lincoln)

Name: Smith Hayes Advisers Inc
Address: 200 Centre Terrace, Lincoln, NE, 68508
Telephone: 402-476-3000

Smith Hayes Advisers Inc is a large advisory firm based in Lincoln. It manages $2.15 billion of regulatory assets for 2,174 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alaska, Arizona, Arkansas, and 30 other states.

Smith Hayes Advisers provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, and erisa plan 404c education & advice on asset allocation & retirement plan reviews. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Smith Hayes Advisers: assets under management

The assets under management (AUM) of Smith Hayes Advisers Inc is $2.15 billion. The firm's AUM has grown by 2867% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.08 billion in discretionary accounts and $1.06 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $587.76 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $3.19 million.

Smith Hayes Advisers has custody of $31.58 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Smith Hayes Advisers Inc for their services and products based on a percentage of assets under management, hourly charges, fixed fees, commissions, and performance-based fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Smith Hayes Advisers Inc

Thomas Curtis Smith has been acting as President since 1 Sep 1985. James Patrick Kerr joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Smith Hayes Companies (D/B/A Smith Hayes)	Parent company	1 Sep 1985	75% - 100%	47-0681159
Thomas Curtis Smith	Chairman of the board/director	1 Sep 1985	Other	429051
Consolidated Investment Coproration	Parent	1 Sep 1985	75% - 100%	47-0681159
Sharon Ann Shelley	Director	1 Sep 1985	Other	421220
Smith Hayes Companies	Parent	1 Sep 1985	75% - 100%	47-0681159
Arnold John Walters	Director	1 Jul 1994	Other	1576358
Max Harold Callen	Director	1 Jul 1994	Other	1636281
George William Peterson	Director	1 Jul 1994	Other	1470625
Allen James Moore	President, director	1 Oct 1997	Other	841005
Allen J Moore	President, director	1 Oct 1997	Other	841005
Ruth Annette Howell	Vice president, compliance director	1 Sep 1998	Other	1255071
William Burton Shreve	Director	1 Sep 2000	Other	852878
Michael Tate Johnson	Vp/director of compliance	1 Feb 2002	Other	2754467
Colleen Terese Davis	Vp	1 Mar 2003	Other	1274284
Todd William Peterson	Director	1 Oct 2003	Other	2348686
Bryan Myron Schneider	Director	1 Oct 2003	Other	2817936
Robert Eugene Brady	Vp	1 Oct 2003	Other	816738
Russell Lee Manners	Vp	1 Oct 2003	Other	722627
Bradley Leroy Knuth	Vp	1 Oct 2003	Other	1355560
Cindee Lynn Devall	Cco	1 Dec 2004	Other	3205855
Steven Robert Sorensen	Evp	1 Oct 2006	Other	800163
John Louis Decker	Evp	1 Aug 2008	Other	2812644
Max Harold Callen	Secretary	1 Jan 2009	Other	1636281
Bobby John Schaefer	Cfo / secretary / treasurer	1 Feb 2010	Other	5569260
Brandon Michael Mann	Vice president of sales	1 Jan 2012	Other	4488207
Allen J Moore	Chief compliance officer	1 Mar 2012	Other	841005
Karol Randy Hood	Vp / chief compliance officer	1 May 2012	Other	2800311
John Louis Decker	Evp, director	1 Mar 2013	Other	2812644
John Louis Decker	Evp, president	1 Jul 2013	Other	2812644
John Louis Decker	President, ceo	1 Jan 2014	Other	2812644
Teresa Marie O'grady	Interim chief compliance officer	1 Jun 2015	Other	2039006
Ruth Annette Howell	Chief compliance officer	1 Aug 2015	Other	1255071
Thomas Curtis Smith	Director	1 Apr 2016	Other	429051
James Patrick Kerr	Director	1 Apr 2016	Other	824040
Michael Joseph Purpura	Director	1 Apr 2016	Other	2095576
Thomas Steven Nelson	Director	1 Apr 2016	Other	1108782

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Smith Hayes Esop	Owner	1 Sep 1985	Other	16-1675064
Consolidated Investment Corp	Parent	1 Sep 1985	75% - 100%	47-0681159
D.A. Davidson Companies	Holding company	1 Apr 2016	75% - 100%	81-0439153
D.A. Davidson Trust Company	Trustee	1 Apr 2016	25% - 50%	81-0330104
Employee Stock Ownership Plan And Trust	Shareholder	1 Apr 2016	25% - 50%	81-6032703

Based in Lincoln

The principal office where Smith Hayes Advisers Inc performs its advisory services is located at 200 Centre Terrace, Lincoln, NE 68508 The mailing address of the firm is P.O. Box 83000, Lincoln, NE 68501 3000. An additional office of the firm is in Omaha, NE. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 402-476-3000 or by fax 402-476-6909. The normal business hours are 8:00am - 5:00pm on Other. You can find more information about the New York firm at smithhayes.com/.