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SMITH BROTHERS FINANCIAL, LLC
CRD 322951File 801-126687
APPROVED
Retail clients
Filing as of May 13, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$1.11B
Above cohort median (national)
Discretionary AUM
$867.5M
Non-discretionary $245.7M
Clients
494
487 accounts
Employees
7
Above cohort median in CT
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Sep 30, 2022
- Principal office
- 68 NATIONAL DRIVE, GLASTONBURY, CT, 06033
- Phone
- (800) 426-6946
- Website
- https://smithbrothersfs.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.11B
- Discretionary AUM
- $867.5M
- Non-discretionary AUM
- $245.7M
- Discretionary accounts
- 375
- Non-discretionary accounts
- 112
- Total accounts
- 487
- AUM per client
- $2.3M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 5 | $3.9M |
| Charitable organizations | Fewer than 5 | $490K |
| High net worth individuals | 80 | $162.8M |
| Pension and profit sharing plans | 112 | $867.5M |
| Individuals (other than high net worth individuals) | 295 | $78.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.