Stephen Smith Financial Inc.
Firm details
- Headquarters
- Schaumburg, Illinois
- CRD number
- 339402
- Registered since
- December 3, 2025
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM
- Client types
- Individuals100%
- Services
- Financial PlanningPortfolio Management for IndividualsSelection of Other AdvisersEducational Seminars / Workshops
Firm profile
FINTRXOverview
Stephen Smith Financial Inc. is an independent, individually owned registered investment adviser that positions itself as a capital allocator for individual and family clients. The firm charges clients a percentage-of-AUM fee and combines investment management with financial planning and educational services. Advisory capabilities listed in the firm’s filing include portfolio management for individuals and small businesses, selection of third‑party advisers, and delivery of seminars or workshops. The firm also operates as an insurance broker, and it does not identify as an active ESG investor.
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
- Non-Exchange Traded Equities44%
- Exchange Traded Equities34%
- Public Funds/Mutual Funds16%
- Cash & Cash Equivalents5%
- US Government Bonds1%
Contacts
2 of 2
Scott Smith
Lead Financial AdvisorCRD 6846696
Stephen Smith
PresidentCRD 6713437
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXLocation
Schaumburg, IL
Cook
Location
Schaumburg, IL
Headquartered in Schaumburg, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.
- Metro area
- Chicago-Naperville, IL-IN-WI
- Region
- Midwest
- County
- Cook
- Address
- 1701 E Woodfield Rd
- Time zone
- CT (UTC-6)
- Office locations
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