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Smi Management & Research LLC (Damariscotta)


Smi Management & Research LLC is a mid-sized advisory firm based in Damariscotta. It manages $40 million of regulatory assets for 127 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdiction of Maine.

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Smi Management & Research provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

Smi Management & Research: assets under management

The assets under management (AUM) of Smi Management & Research LLC is $40 million. The firm's AUM has grown by 17% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $38 million in discretionary accounts and $2 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $306.45 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $666.67 thousand.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Smi Management & Research LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Based in Damariscotta

The principal office where Smi Management & Research LLC performs its advisory services is located at 15 Belvedere Rd, Damariscotta, ME 04543 The mailing address of the firm is Po Box 264, Damariscotta, ME 04543. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 207-380-5375 or by fax 866-877-4916. The normal business hours are 9-4 on Monday - Friday. You can find more information about the New York firm at www.smi-management.com.


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