Smith Brothers Financial, LLC

RIASEC Registered

Total AUM

$1.1B

Discretionary

$868M

78% of AUM

Avg account

$2.3M

Accounts

487

Employees

Advisory reps

Firm details

Headquarters: Glastonbury, Connecticut
CRD number: 322951
Registered since: September 30, 2022
Website: www.smithbrothersfs.com
Custodians: LPL FINANCIAL LLC, ASSETMARK TRUST CO., CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM, Fixed Fees
Client types: Pension & Profit Sharing Plans77.93%
HNWI14.63%
Individuals7.05%
Corporations / Businesses0.35%
Charitable Organizations0.04%
Services: Financial PlanningPortfolio Management for Individuals

Firm profile

FINTRX

Overview

Smith Brothers Financial, LLC is an independent registered investment adviser that began its SEC registration in 2022. Structured as an LLC and owned by an individual, the firm serves both individual and family clients alongside institutional relationships. Its advisory services focus on financial planning and portfolio management for individuals and small businesses. Compensation is a mix of percentage-of-assets and fixed fees. The firm does not position itself as a capital allocator, is not an active ESG investor, and does not operate as a multi-state or pension consulting adviser. An industry affiliation with an insurance company is disclosed.