SMITH GRAHAM
23 known aliases resolved via the canonical alias map
Market position · 2024
Plans served7-13 YoYRank #1097 of mapped providers
Assets under administration$1.6B0.0%Market share · rank #2256
Fees received$369,860Median $63,876/planSum across Schedule C direct + indirect
Net wins YoY-71 won · 8 lostPlan-level switch detection
Plans served · 5-year trajectory
Market-share plans percent annotated. Bar height is raw plan count.
Customer-base shape
What does a typical SMITH GRAHAM plan look like?
Service mix · median fees per plan
Count of plans where SMITH GRAHAM ships each service code, and the median compensation they report under it.
| Service | Plans | Median fees | Distribution |
|---|---|---|---|
Investment management fees paid directly by plan; Investment managementCode 28 | 4 | $78,284 | |
Non-monetary compensation; Investment management fees paid directly by planCode 51 | 2 | $49,293 | |
Direct payment from the plan; Investment management fees paid directly by plan; Soft dollars commissions; Securities brokerage commissions and feesCode 50 | 1 | $7,060 |
Competitor overlap
Percent of SMITH GRAHAM's plans that also list each competitor on Schedule C. High numbers = co-living partners; low numbers = direct displacement targets.
Plans won in 2024
Appeared this year; did not appear last year under SMITH GRAHAM.
| Sponsor | From | Assets |
|---|---|---|
IBEW LOCAL UNION NO. 99RI · 056049537-002 | MASSACHUSETTS MUTUAL LIFE INS. CO. | $179M |
Plans lost in 2024
Appeared last year under SMITH GRAHAM; not this year.
| Sponsor | To | Assets |
|---|---|---|
LABORERS' DISTRICT COUNCIL CONSTRUCTION INDUSTRY PENSION FUNDPA · 236235338-001 | BOYD WATTERSON ASSET MANAGEMENT | $1.1B |
INTERNATIONAL UNION OF OPERTING ENG. PEN FUND OF E.PENNSYLVANIA AND DEPA · 236405239-001 | DANA INVESTMENT ADVISORS | $1.0B |
BOARD OF TRUSTEES-NEW ENGLAND HEALTH CARE EMPLOYEES PENSION FUNDCT · 223071963-001 | DANA INVESTMENT ADVISORS | $976M |
AFL-CIO STAFF RETIREMENT PLAN CONGRESS OF INDUSTRIAL ORGANIZATIONSDC · 530228172-001 | DANA INVESTMENT ADVISORS | $677M |
BOARD OF TRUSTEES OF LOCAL 272 LABOR MANAGEMENT PENSION FUNDNY · 135673836-001 | DANA INVESTMENT ADVISORS | $398M |
PENSION FUND FOR HOSPITAL AND HEALTH CARE EMPLOYEESPA · 232627428-001 | DANA INVESTMENT ADVISORS | $356M |
TRUSTEES OF THE FLORIDA UBC SUPPLEMENTAL PENSION PLANTN · 582437220-001 | HARDMAN JOHNSTON GLOBAL ADVISORS | $83M |
PENSION FUND FOR NURSING AND HEALTH CARE EMPLOYEESPA · 232774706-001 | CYNTHIA JONES-BROOKS | $67M |
Top plans by assets
Searchable full list lands with the commercial layer.
| Plan | Assets | Participants | Fees | Tenure | Flags |
|---|---|---|---|---|---|
BOARD OF TRUSTEES OF UFCW LOCAL 655, FOOD EMPLOYERS JOINT PENSION PLANMO · 436058365-001 | $780M | 18,936 | $63,876 | 10y | - |
NECA LOCAL 145 IBEW PENSION FUNDIL · 366492101-001 | $254M | 1,594 | $75,195 | 3y | - |
IBEW LOCAL UNION NO. 99RI · 056049537-002 | $179M | 1,334 | $9,820 | 1y | - |
JOINT PENSION COMM OF THE EES SEC FUND OF THE ELEC PROD INDNY · 136100907-001 | $155M | 6,883 | $97,826 | 10y | - |
BOARD OF TRUSTEES OF CAROLINA ELECTRICAL WORKERS RETIREMENT FUNDFL · 561351864-001 | $154M | 5,190 | $34,710 | 4y | - |
BOARD OF TRUSTEES, IRONWORKERS LOCAL #16 PENSION PLANWA · 526148924-001 | $127M | 886 | $7,060 | 10y | - |
TRUSTEES OF THE FLORIDA CARPENTERS PENSION PLANTN · 596205166-001 | $0 | 0 | $81,373 | 7y | 1 |
Flag exposure
100.0%Market: 89.2%
This provider
Market baseline
Share of this provider's plans tripping any deterministic red flag this year. Lower than market baseline = better risk surface.
Aliases resolved (23)
Raw Schedule C names collapsed into SMITH GRAHAM.
- SMITH & GRAHAM & CO.
- SMITH GRAHAM
- SMITH GRAHAM & CO
- SMITH GRAHAM & CO INV ADVISORS
- SMITH GRAHAM & CO INV. ADV., LP
- SMITH GRAHAM & CO.
- SMITH GRAHAM & CO. INV ADVISORS
- SMITH GRAHAM & CO. INVESTMENT
- SMITH GRAHAM & CO. INVESTMENT ADV
- SMITH GRAHAM & CO. INVESTMENT ADV.
- SMITH GRAHAM & COMPANY
- SMITH GRAHAM AND CO
- SMITH GRAHAM AND CO.
- SMITH, GRAHAM & C, INVESTMENT ADVI
- SMITH, GRAHAM & CO
- SMITH, GRAHAM & CO INV ADVISORS
- SMITH, GRAHAM & CO. INV. ADV., L.P.
- SMITH, GRAHAM & CO. INV. ADV.,L.P.
- SMITH, GRAHAM & CO. INV. ADVISORS
- SMITH, GRAHAM & CO. INVESTMENT ADV
- SMITH, GRAHAM & CO. INVESTMENT ADV.
- SMITH, GRAHAM & CO. INVESTMENT ADVI
- SMITH, GRAHAM & COMPANY
Book composition by plan size
Bars stack to total plans served; segments use the same asset cutoffs as the /retirement size filter. Up-and-to-the-right on the bigger segments = moving up-market.
Under $5M$5-50M$50-250M$250M-1B$1B+
Compliance posture vs market
Per-flag share for SMITH GRAHAM's book against the same flag's overall prevalence across all filings. Negative delta = under-indexed (cleaner book); positive = elevated risk surface.
| Flag | Plans flagged | Provider % | Market % | Delta |
|---|---|---|---|---|
| Recently terminated | 1 | 14.29% | 7.76% | +6.52 pp |
| Fidelity bond gap | 0 | 0.00% | 26.94% | -26.94 pp |
| Late contributions | 0 | 0.00% | 1.71% | -1.71 pp |
| Failed to provide benefit | 0 | 0.00% | 0.14% | -0.14 pp |
| Corrective distributions | 0 | 0.00% | 1.76% | -1.76 pp |
| Loss discovered | 0 | 0.00% | 0.00% | -0.00 pp |
New-plan formation share
Share of plans filing for the first time each year that landed with SMITH GRAHAM. Compare to the incumbent market share (0.0%) - higher = winning new business, lower = coasting on existing relationships.
0.0%-0.0 pp vs incumbent