9AT: SMITH PARTNERS WEALTH MANAGEMENT, LLC

SMITH PARTNERS WEALTH MANAGEMENT, LLC

SMITH PARTNERS WEALTH MANAGEMENT, LLC

JONATHAN SMITH & CO INVESTMENT COUNSEL LLC

JONATHAN SMITH & CO., INVESTMENT COUNSEL, LLC

JONATHAN SMITH & CO. INVESTMENT COUNSEL LLC

JONATHAN SMITH & CO. INVESTMENT COUNSEL

JONATHAN SMITH & CO. INVESTMENT CO. LLC.

JONATHAN SMITH & CO.

SMITH PARTNERS WEALTH MANAGEMENT

Adviser Profile

As of Date	03/10/2026
Registration	SEC, Approved, 04/26/2021
Other registrations (2)	North Carolina, Terminated, 04/28/2021 Florida, Terminated, 04/27/2021
ADV Location	GREENSBORO, NC, United States
Contact Info	336 xxxxxxx
Websites

AUM^*	196,113,579 12%
of that, discretionary	184,777,241 8%
Number of Employees	4
of those in investment advisory functions	2
Private Fund GAV^*	0
Avg Account Size	471,427 17%
% High Net Worth	49.59% -11%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans
- Charitable organizations
- Corporations or other businesses not listed above

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

Reported AUM

185M 158M 132M 106M 79M 53M 26M

2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

4(a) Smith Partners Wealth Management, LLC, an SEC Registered Investment Advisory firm, was founded (under the name of Jonathan Smith & Co., Investment Counsel) in November 1988 by Jonathan W. Smith and is owned jointly by Jonathan W. Smith, Anne Flegal Smith, and Justin Winship Smith. For more information regarding the ownership of SPWM, please refer to the Investment Advisor Public Disclosure section on the SEC’s website here: https://adviserinfo.sec.gov/firm/summary/112231 . 4(b) SPWM provides investment advice, financial planning, and customized financial consulting. The Firm offers advice on Equity Securities, Corporate Debt Securities, Certificates of Deposit, Municipal Securities, United States Government Securities, Mutual Fund Shares, Annuities, Insurance, Exchange Traded Funds, Exchange Traded Notes, Alternative Investments, and Options, Stock Appreciation Rights, Restricted Stock, Restricted Stock Units, or Other Stock-Based Awards. 4(c) SPWM provides investment advisory services tailored to the individual needs of its clients. SPWM helps its clients identify and understand their emotional and financial tolerances for risks SPWM shall ask, at least annually, each client to inform SPWM of any life changes. Knowledge of these life changes will help SPWM know how these changes

could affect the client’s financial plan, asset allocation, or portfolio risk. Each client has a separately managed account, the assets of which conform to the asset allocation target that most closely matches the individual's risk profile and time horizon. The Client has authority and opportunity, at any time, to instruct the Manager to purchase or to refrain from purchasing specific types of assets and/or specific assets. SPWM provides advisory services on a discretionary and non-discretionary basis for Held Away accounts. Held Away accounts typically are employer 401K plans or other retirement plans not held at the primary custodian. We manage the discretionary accounts through a platform that allows us to access and manage these retirement accounts while maintaining compliance with regulations that help protect clients, particularly in the realms of account custody, supervision, and level-fee billing. The platform never shares client login credentials and purposefully prohibits client account access, disbursements, transfers, and beneficiary changes. Please see Item 16 – Investment Discretion for further information related to discretionary and non-discretionary management of client accounts. 4(d) SPWM does not participate in wrap fee programs. 4(e) Assets Under Management as of December 31, 2023, SPWM manages $150,243.306 in discretionary accounts and $5,022,922 in non-discretionary accounts.