SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.**

PEER BENCHMARKS

Understanding SEC Peer Groups

A firm's peer group is calculated based on public self-reported AUM benchmarked against a population of RIAs who submitted a Form ADV to the Securities and Exchange Commission.

SEC Peer Benchmark Details

Firm Self-Reported AUM
$6,030.4M
Peer Group AUM Range
$2,147.5M - $6,324.7M
Sample Size
65
Firm Age (Years)
PEER GROUP AVERAGE
15
Structure
PEER GROUP AVERAGE
Limited Liability Company (35 firms)
Discretionary Accounts
PEER GROUP AVERAGE
1,870
Discretionary AUM
PEER GROUP AVERAGE
$5,507M
Non-Discretionary Accounts
PEER GROUP AVERAGE
431
Non-Discretionary AUM
PEER GROUP AVERAGE
$550M
Total Clients
PEER GROUP AVERAGE
1,984
Total AUM
PEER GROUP AVERAGE
$6,057M
Offices
PEER GROUP AVERAGE
7
Total Employees
PEER GROUP AVERAGE
66
Investment Advisors
PEER GROUP AVERAGE
38
Registered Representatives
PEER GROUP AVERAGE
17
Licensed Insurance Agents
PEER GROUP AVERAGE
8
Foreign Clients
PEER GROUP AVERAGE
30.5%
Clients Without Regulatory Assets
PEER GROUP AVERAGE
1,339
Compensation
PEER GROUP AVERAGE
FIRM VALUE
Percentage of AUM Yes 64 Firms Yes
Hourly Charges No 60 Firms No
Subscription Fees No 65 Firms No
Fixed Fees No 45 Firms Yes
Commissions No 65 Firms No
Performance Based Fees Yes 35 Firms Yes
Other No 50 Firms No

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