SMITH BROTHERS FINANCIAL, LLC

CRD 322951File 801-126687

APPROVED

Retail clients

Filing as of Aug 30, 2026

Feed vintage Oct 1, 2026

Regulatory AUM

$1.11B

Above cohort median (national)

Discretionary AUM

$867.5M

Non-discretionary $245.7M

Clients

494

487 accounts

Employees

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, 5G

Compensation

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 11

This firm answered no to every Item 11 disclosure question in this filing.

Filed changes

Date	Field	From	To	Change
Apr 1, 2026	Employees	8	7	decreased by1
Apr 1, 2026	Clients	350	494	increased by144
Apr 1, 2026	AUM	$999,160,152	$1,113,194,633	increased by$114,034,481
Apr 1, 2026	Accounts	448	487	increased by39
May 1, 2025 vs Oct 1, 2022	Registration	APPROVED-120	APPROVED
May 1, 2025 vs Oct 1, 2022	Employees	9	8	decreased by1
May 1, 2025 vs Oct 1, 2022	AUM	$0	$999,160,152	increased by$999,160,152
May 1, 2025 vs Oct 1, 2022	Accounts	0	448	increased by448
Oct 1, 2022	Registration	—	APPROVED-120

On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.

See plans that list “SMITH BROTHERS” as a service provider on 5500mcp →

Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SMITH BROTHERS” may also match similarly-named firms). Confirm identity against each filing.

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.