SMB FINANCIAL SERVICES, INC.
Firm details
- Headquarters
- PORTLAND, Oregon
- CRD number
- 154216
- Registered since
- May 29, 2019
- Website
- smb.financial
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Hourly Charges
- Client types
- HNWI56.68%
- Individuals39.45%
- Corporations / Businesses3.86%
- Services
- Financial PlanningPortfolio Management for IndividualsPension ConsultingEducational Seminars / Workshops
Firm profile
FINTRXOverview
SMB Financial Services, Inc. is an independent registered investment adviser formed in 2019 and owned by an individual. The firm serves both individual and family clients as well as institutional clients, and combines fee models that include a percentage of assets under management and hourly charges. Advisory services highlighted in filings include financial planning, portfolio management for individuals and small businesses, pension consulting services, and educational seminars or workshops. The firm also operates as an insurance broker and lists an affiliation with an accountant. The adviser is not positioned as a capital allocator and does not identify as an active ESG investor. It is registered in a single state (not a multi-state adviser) and does not list any related advisers.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds47%
- Exchange Traded Equities30%
- Cash & Cash Equivalents22%
- Non-Investment Grade Corp Bonds1%
Contacts
3 of 5JAMES FLAD
PresidentCRD 4497980
THOMAS PEEKEMA
Financial AdvisorCRD 5637343
RIAN FLAD
Investment Advisor RepresentativeCRD 5460659
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXLocation
PORTLAND, OR
WASHINGTON
Location
PORTLAND, OR
Headquartered in PORTLAND, OR, anchoring the Portland-Vancouver-Salem, OR-WA metro in the West.
- Metro area
- Portland-Vancouver-Salem, OR-WA
- Region
- West
- County
- WASHINGTON
- Address
- 11535 SW 67th Ave
- Time zone
- PT (UTC-8)
- Office locations
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