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William Michael Smiley (Charlotte)


William Michael Smiley is a large advisory firm based in Charlotte. It manages $53.2 million of regulatory assets for 305 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdictions of Florida, North Carolina, South Carolina, Tennessee, and Texas.




William Michael Smiley provides financial planning services, portfolio management for individuals and small businesses, and portfolio management for pooled investment vehicles. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

William Michael Smiley: assets under management

The assets under management (AUM) of William Michael Smiley is $53.2 million. The firm's AUM has grown by 21% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $25.33 million in discretionary accounts and $27.87 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.1 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $98.84 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay William Michael Smiley for their services and products based on a percentage of assets under management and hourly charges. 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 Charlotte

The principal office where William Michael Smiley performs its advisory services is located at 10333 Old Carolina Drive, Charlotte, NC 28214 The mailing address of the firm is 3611 204 Mt Holly Huntersville Rd, Charlotte, NC 28216. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 704-399-7010 or by fax 704-399-4870. The normal business hours are 9 am to 5 pm on Monday - Friday.


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