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Smith Warren and Associates

Private Wealth Advisors

600 TRAVIS STREET, SUITE 7400

HOUSTON, TX 77002-2900

888.883.0368

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About us

Smith Warren and Associates

Smith Warren and Associates is a leading wealth management team that caters to the needs of ultra-high-net worth clients. Located in Houston, we work with corporate executives, entrepreneurs, business owners, affluent families, and family offices throughout the Southwest who are drawn to our customized approach, in-depth knowledge, and ingrained service ethic. As a eleven-person team, we draw upon the talents of many individuals, all focused on the same goal: delivering value to the client. Our team members are distinguished not only by their accolades and training, but also by their decades of real-life wealth management experience. We invite clients to gauge the difference that experience makes.

Our Competitive Edge

Our team is distinctive in its focus and its depth. We work exclusively with an elite group of clients who encounter opportunities and complexities as a result of substantial wealth. We have built our team to respond to the particular needs of clients, from large-scale issues like portfolio management, tax minimization, and estate planning strategies, to day-to-day issues like bill paying and account organization. We relish the opportunity to streamline clients’ financial lives so that they can focus on the family and business pursuits they find most rewarding. Our wealth management process begins by identifying and understanding client desires and concerns. We then apply the full resources of our team and engage the global capabilities of Merrill Lynch to advance client interests and pursue client goals.

Our Emphasis on Risk Management

Having attained exceptional success, clients come to us to preserve and nurture their wealth. Our investment approach places a premium on the management of risk. We believe strongly in the value of diversification, enhanced through the skillful application of investment acumen and sound judgment. Our team has particular depth in investment research and analysis. We supplement the renowned research ability of Merrill Lynch with that of our internal research staff, developing customized investment portfolios that reflect client goals, timelines, lifestyle needs, and risk thresholds. We have guided a number of clients through liquidity events, and have detailed experience in pre-and-post IPO planning, concentrated stock management, and restricted stock management.

Our Accolades

Our team’s managing directors, Reed Smith and Champ Warren, have received a number of national accolades as financial advisors:

  • Barron’s Magazine, “America’s Top 1,200 Advisors” from 2011-2016.1
  • Financial Times, “Top 400 Financial Advisors” in 2013-2016.2
  • Wealth Management Magazine’s(formerly REP.), The Top 100 Wirehouse Advisors in America in 2016.

Our Offerings

Our team offers a range of strategies and services that address the financial needs and lifestyle demands of affluent clients:

  • Asset management
  • Alternative investments*
  • Executive-suite services (pre-and post-IPO planning; concentrated stock; restricted stock)
  • Estate planning strategies
  • Tax minimization strategies
  • Credit and lending through Bank of America, N.A.
  • Concierge
  • Philanthropy

____________________________________________________________________________

*Some or all alternative investments may not be suitable for certain investors. Certain alternative investments carry significant risk and are not subject to the same regulatory oversight as mutual funds and other traditional investments. For these reasons, access to alternative investments may be limited to investors who are designated as sophisticated, high-net-worth investors.

Barron's "America's Top 1,200 Advisors: State-by-State" list, March 7, 2016. For information about the selection criteria, go to Barron's Top Financial Advisors page. Barron's is a trademark of Dow Jones & Company, Inc. All rights reserved. Years prior to 2014, this Barron's list consisted of 1,000 advisors.

The Financial Times Top 400 Financial Advisors, March, 2016. For information about the selection criteria, go to http://details-he.re/ThXQQV. All rights reserved.

Neither Merrill Lynch nor its Financial Advisors provide tax, accounting or legal advice. Clients should review any planned financial transactions or arrangements that may have tax, accounting or legal implications with their personal professional advisors.

CFA® and Chartered Financial Analyst® are registered trademarks of the CFA Institute.

Wealth Management Magazine's (formerly REP.)"Top 100 Wirehouse Advisors in America" list, May, 2, 2016. For information about the selection criteria, go to http://details-he.re/YmYuUA. Wealth Management Magazine (formerly REP.) is a trademark of Penton Media, Inc. All rights reserved.

Meet the team

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Reed H.B. Smith

Managing Director

Private Wealth Advisor

713.632.9004

713.632.9004

reed_smith@ml.com

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Champ D. Warren III

Managing Director

Private Wealth Advisor

713.632.9005

713.632.9005

champ_warreniii@ml.com

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Jon S. (Duke) Jones

Assistant Vice President

Sr. Private Wealth Relationship Manager

713.632.8315

713.632.8315

duke.jones@ml.com

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Allan Parks, CFA

Assistant Vice President

Sr Financial Analyst

713.632.9009

713.632.9009

allan.parks@ml.com

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J. Micah Johnson

Private Wealth Analyst Investments

713.632.9010

713.632.9010

micah.m.johnson@ml.com

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Awards

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Meet the team

Reed H.B. Smith

Managing Director

Private Wealth Advisor

713.632.9004

713.632.9004

reed_smith@ml.com

Add to address book

Read Bio

Champ D. Warren III

Managing Director

Private Wealth Advisor

713.632.9005

713.632.9005

champ_warreniii@ml.com

Add to address book

Read Bio

Jon S. (Duke) Jones

Assistant Vice President

Sr. Private Wealth Relationship Manager

713.632.8315

713.632.8315

duke.jones@ml.com

Add to address book

Read Bio

Allan Parks, CFA

Assistant Vice President

Sr Financial Analyst

713.632.9009

713.632.9009

allan.parks@ml.com

Add to address book

Read Bio

J. Micah Johnson

Private Wealth Analyst Investments

713.632.9010

713.632.9010

micah.m.johnson@ml.com

Add to address book

Read Bio